ChapterII
EMPIRES
AnEmpireAcrossThreeContinents
TheCentralIslamicLands
NomadicEmpires
EMPIRES
OverthetwomillenniathatfollowedtheestablishmentofempiresinMesopotamia,variousattemptsat
empire-buildingtookplaceacrosstheregionandintheareatothewestandeastofit.
By the sixth century bce, Iranians had established control over major parts of the Assyrian empire.
Networksoftradedevelopedoverland,aswellasalongthecoastsoftheMediterraneanSea.
IntheeasternMediterranean,Greekcitiesandtheircoloniesbenefitedfromimprovementsintradethat
weretheresultofthesechanges.Theyalsobenefitedfromclosetradewithnomadicpeopletothenorthof
theBlackSea.InGreece,forthemostpart,city-statessuchasAthensandSpartawerethefocusofcivic
life.FromamongtheGreekstates,inthelatefourthcenturybce,therulerof thekingdom ofMacedon,
Alexander,undertookaseriesofmilitarycampaignsandconqueredpartsofNorthAfrica,WestAsiaand
Iran, reaching up to the Beas. Here, his soldiers refused to proceed further east. Alexanders troops
retreated,thoughmanyGreeksstayedbehind.
Throughout the area under Alexanderscontrol, ideals and cultural traditions were shared amongstthe
Greeksandthelocalpopulation.TheregiononthewholebecameHellenised’(theGreekswerecalled
Hellenes), and Greek became a well-known language throughout. The political unity of Alexanders
empire disintegrated quickly after his death, but for almost three centuries after, Hellenistic culture
remainedimportantinthearea.Theperiodisoftenreferredtoasthe‘Hellenisticperiod’inthehistoryof
theregion,butthisignoresthewayinwhichothercultures(especiallyIraniancultureassociatedwiththe
old empire of Iran) were as important as – if not often more important than – Hellenistic notions and
ideas.
Thissectiondealswithimportantaspectsofwhathappenedafterthis.
Small but well-organisedmilitaryforcesofthecentralItaliancity-stateofRometookadvantageof the
political discord that followed the disintegration of Alexanders empire and established control over
North Africa and the eastern Mediterranean from the second century bce. At the time, Rome was a
republic.Governmentwasbasedonacomplexsystemofelection,butitspoliticalinstitutionsgavesome
importance to birth and wealth and society benefited from slavery. The forces of Rome established a
networkfortradebetweenthestatesthathadoncebeenpartofAlexandersempire.Inthemiddleofthe
first century bce, under Julius Caesar, a high-born military commander, this Roman Empire’ was
extendedtopresent-dayBritainandGermany.
Latin(spokeninRome)wasthemainlanguageof theempire,though manyintheeast continuedtouse
Greek, and the Romans had a great respect for Hellenic culture. There were changes in the political
structure of the empire from the late first century bce, and it was substantially Christianised after the
emperorConstantinebecameaChristianinthefourthcenturyce.
RuinsatGreekcityofCorinth.
Tomakegovernmenteasier,theRomanEmpirewasdividedintoeasternandwesternhalvesinthefourth
centuryce.Butinthewest,therewasabreakdownofthearrangementsthatexistedbetweenRomeandthe
tribes in frontier areas (Goths, Visigoths, Vandals and others). These arrangements dealt with trade,
military recruitment and settlement, and the tribes increasingly attacked the Roman administration.
Conflicts increased in scale, and coincided with internal dissensions in the empire, leading to the
collapseoftheempireinthewestbythefifthcenturyce.Tribesestablishedtheirownkingdomswithin
theformerempire,though,withthepromptingoftheChristianChurch,aHolyRomanEmpirewasformed
from some of these kingdoms from theninth century ce.This claimedsome continuity with the Roman
Empire.
Betweentheseventhcenturyandthefifteenthcentury,almostallthelandsoftheeasternRomanEmpire
(centredonConstantinople)cametobetakenoverbytheArabempire–createdbythefollowersofthe
ProphetMuhammad(whofoundedthefaithofIslamintheseventhcentury)andcentredonDamascus–or
byitssuccessors(whoruledfromBaghdadinitially).TherewasacloseinteractionbetweenGreekand
Islamictraditionsintheregion.Thetradingnetworksoftheareaanditsprosperityattractedtheattention
ofpastoralpeoplestothenorthincludingvariousTurkictribes,whooftenattackedthecitiesoftheregion
and established control. The last ofthese peoples toattack the area and attempttocontrol it were the
Mongols,underGenghisKhanandhissuccessors,whomovedintoWestAsia,Europe,CentralAsiaand
Chinainthethirteenthcentury.
Alltheseattemptstomakeandmaintainempiresweredrivenbythesearchtocontroltheresourcesofthe
tradingnetworksthatexistedintheregionasawhole,andtoderivebenefitfromthelinksoftheregion
withotherareassuchasIndiaorChina.Alltheempiresevolvedadministrativesystemstogivestability
totrade.
TheGreatMosque,Damascus,completedin714.
Theyalsoevolveddifferenttypesofmilitaryorganisation. Theachievementsofoneempirewereoften
taken up byitssuccessor. Overtime, theareacame to bemarkedbyPersian, Greek,Latin and Arabic
abovemanyotherlanguagesthatwerespokenandwritten.
Theempireswerenotverystable.Thiswaspartlyduetodisputesandconflictoverresourcesinvarious
regions.Itwasalsoduetothecrisisthatdevelopedinrelationsbetweenempiresandpastoralpeoplesto
thenorth–fromwhomempiresderivedsupportbothfortheirtradeandtoprovidethemwithlabourfor
productionofmanufacturesandfortheirarmies.Itisworthnotingthatnotallempireswerecity-centric.
TheMongolempireofGenghisKhanandhissuccessorsisagoodexampleofhowanempirecouldbe
maintainedbypastoralpeopleforalongtimeandwithsuccess.
Religionsthatappealedtopeoplesofdifferentethnicorigins,whooftenspokedifferentlanguages,were
importantinthemakingoflargeempires.ThiswastrueinthecaseofChristianity(whichoriginatedin
Palestineintheearlyfirstcenturyce)andIslam(whichoriginatedintheseventhcenturyce).
TimelineII
(c.100bceto1300ce)
This timeline focuses on kingdoms and empires. Some of these such as the Roman Empire were very
large, spreading acrossthree continents.This was also the time whensomeof the majorreligious and
culturaltraditionsdeveloped.Itwasatimewheninstitutionsofintellectualactivityemerged.Bookswere
writtenandideastravelledacrosscontinents.Somethingsthatarenowpartofoureverydayliveswere
usedforthefirsttimeduringthisperiod.
ACTIVITY
Tryandidentifyatleastfiveevents/processesthatwouldhaveinvolvedthemovement
ofpeoplesacrossregions/continents.Whatwouldhavebeenthesignificanceofthese
events/processes?
THEME3
AnEmpireAcrossThreeContinents
TheRomanEmpirecoveredavaststretchofterritorythatincludedmostofEuropeasweknowittoday
andalargepartoftheFertileCrescentandNorthAfrica.Inthischapterweshalllookatthewaythis
empire was organised, the political forces that shaped itsdestiny, and the social groupsinto which
peopleweredivided.Youwillseethattheempireembracedawealthoflocalculturesandlanguages;
that women had a stronger legal position then than they do in many countries today; but also that
much of the economy was run on slave labour, denying freedom to substantial numbers of persons.
From the fifth century on, the empire fell apart in the west but remained intact and exceptionally
prosperousinitseasternhalf.Thecaliphatewhichyouwillreadaboutinthenextchapterbuiltonthis
prosperityandinheriteditsurbanandreligioustraditions.
Roman historians havearichcollectionofsources to go on, which we canbroadly divide into
threegroups:(a)texts,(b)documentsand(c)materialremains.Textualsourcesincludehistories
oftheperiodwrittenbycontemporaries(thesewereusuallycalled‘Annals’,becausethenarrative
was constructed on a year-by-year basis), letters, speeches, sermons, laws, and so on.
Documentary sources include mainly inscriptions and papyri. Inscriptions were usually cut on
stone,soalargenumbersurvive,inbothGreekandLatin.The‘papyrus’wasareed-likeplantthat
grewalongthebanksoftheNileinEgyptandwasprocessedtoproduceawritingmaterialthat
was very widely used in everyday life. Thousands of contracts, accounts, letters and official
documents survive ‘on papyrus’ and have been published by scholars who are called
‘papyrologists’. Material remains include a very wide assortment of items that mainly
archaeologists discover (for example, through excavation and field survey), for example,
buildings,monumentsandotherkindsofstructures,pottery,coins,mosaics,evenentirelandscapes
(forexample,throughtheuseofaerialphotography).Eachofthesesourcescanonlytellusjustso
much about the past, and combining them can be a fruitful exercise, but how well this is done
dependsonthehistoriansskill!
Papyrusscrolls
Two powerful empires ruled over most of Europe,North Africa and the Middle East in the period
between the birth of Christ and the early part of the seventh century, say, down to the 630s. The two
empireswerethoseofRomeandIran.TheRomansandIranianswererivalsandfoughtagainsteachother
formuchoftheirhistory.Theirempireslaynexttoeachother,separatedonlybyanarrowstripofland
thatranalongtheriverEuphrates.InthischapterweshallbelookingattheRomanEmpire,butweshall
alsorefer,inpassing,toRome’srival,Iran.
Ifyoulookatthemap,youwillseethatthecontinentsofEuropeandAfricaareseparatedbyaseathat
stretchesallthewayfromSpaininthewesttoSyriaintheeast.ThisseaiscalledtheMediterranean,and
itwastheheartofRome’sempire.RomedominatedtheMediterraneanandalltheregionsaroundthatsea
inbothdirections,northaswellassouth.Tothenorth,theboundariesoftheempirewereformedbytwo
greatrivers,theRhineandtheDanube;tothesouth,bythehugeexpanseofdesertcalledtheSahara.This
vaststretchofterritorywastheRomanEmpire.IrancontrolledthewholeareasouthoftheCaspianSea
downtoeasternArabia,andsometimeslargepartsofAfghanistanaswell.Thesetwosuperpowershad
dividedupmostoftheworldthattheChinesecalledTaChin(‘greaterChin’,roughlythewest).
Map1:EuropeandNorthAfrica
TheEarlyEmpire
The Roman Empire can broadly be divided into two phases, early’ and ‘late’, divided by the third
century as a sort of historical watershedbetween them. In other words, the whole perioddown to the
mainpartofthethirdcenturycanbecalledthe‘earlyempire’,andtheperiodafterthatthe‘lateempire’.
A major difference between the two superpowers and their respective empires was that the Roman
Empire was culturally much more diverse than that of Iran. The Parthians and later the Sasanians, the
dynasties that ruled Iran in this period, ruled over a population that was largely Iranian. The Roman
Empire, by contrast, was a mosaic of territories and cultures that were chiefly bound together by a
common system of government. Many languages were spoken in the empire, but for the purposes of
administrationLatinandGreekwerethemostwidelyused,indeedtheonlylanguages.Theupperclasses
oftheeastspokeandwroteinGreek,thoseofthewestinLatin,andtheboundarybetweenthesebroad
languageareasransomewhereacrossthemiddleoftheMediterranean,betweentheAfricanprovincesof
Tripolitania (which was Latin speaking) and Cyrenaica (Greek-speaking). All those who lived in the
empireweresubjectsofasingle ruler, theemperor, regardlessofwheretheylivedandwhatlanguage
theyspoke.
*TheRepublicwasthenameforaregimeinwhichtherealityofpowerlaywiththeSenate,abodydominatedbyasmallgroupof
wealthyfamilieswhoformedthe‘nobility’.Inpractice,theRepublicrepresentedthegovernmentofthenobility,exercisedthroughthe
bodycalledtheSenate.TheRepubliclastedfrom509bcto27bc,whenitwasoverthrownbyOctavian,theadoptedsonandheirof
Julius Caesar, who later changed his name to Augustus. Membership of the Senate was for life, and wealth and office-holding
countedformorethanbirth.
TheregimeestablishedbyAugustus, thefirstemperor,in27bcewascalledthePrincipate’.Although
Augustuswasthesolerulerandtheonlyrealsourceofauthority,thefictionwaskeptalivethathewas
actuallyonlythe‘leadingcitizen(PrincepsinLatin),nottheabsoluteruler.Thiswasdoneoutofrespect
fortheSenate,thebodywhichhadcontrolled Romeearlier,inthedayswhenit wasaRepublic.*The
SenatehadexistedinRomeforcenturies,andhadbeenandremainedabodyrepresentingthearistocracy,
that is, the wealthiest families of Roman and, later, Italian descent, mainly landowners. Most of the
Romanhistories thatsurvive inGreekand Latinwerewrittenby peoplefroma senatorialbackground.
From theseit is clearthat emperorswere judgedby how they behaved towards the Senate.The worst
emperorswerethosewhowerehostiletothesenatorialclass,behavingwithsuspicionorbrutalityand
violence.ManysenatorsyearnedtogobacktothedaysoftheRepublic,butmostmusthaverealisedthat
thiswasimpossible.
Next to the emperorandtheSenate,the otherkey institution of imperial rulewasthe army. Unlike the
army of its rival in the Persian empire, which was a conscripted** army, the Romans had a paid
professionalarmywheresoldiershadtoputinaminimumof25yearsofservice.Indeed,theexistenceof
apaidarmywasadistinctivefeatureoftheRomanEmpire.Thearmywasthelargestsingleorganised
bodyintheempire(600,000bythefourthcentury)anditcertainlyhadthepowertodeterminethefateof
emperors.Thesoldierswouldconstantlyagitateforbetterwagesandserviceconditions.Theseagitations
oftentooktheformofmutinies,ifthesoldiersfeltletdownbytheirgeneralsoreventheemperor.Again,
our picture of the Roman army depends largely on the way they were portrayed by historians with
senatorial sympathies. The Senate hated and feared the army, because it was a source of often-
unpredictable violence, especially in the tense conditions of the third century when government was
forcedtotaxmoreheavilytopayforitsmountingmilitaryexpenditures.
**A conscripted army is one which is forcibly recruited; military service is compulsory for certain groups or categories of the
population.
Tosumup,theemperor,thearistocracyandthearmywerethethreemain‘players’inthepoliticalhistory
oftheempire.Thesuccessofindividualemperorsdependedontheircontrolofthearmy,andwhenthe
armiesweredivided,theresultusuallywascivilwar*.Exceptforonenotoriousyear(69ce),whenfour
emperors mounted the throne in quick succession, the first two centuries were on the whole free from
civil warand in this sense relativelystable. Succession to thethrone was basedasfar as possibleon
familydescent,eithernaturaloradoptive,andeventhearmywasstronglyweddedtothisprinciple.For
example,Tiberius(14-37ce),thesecondinthelonglineofRomanemperors,wasnotthenaturalsonof
Augustus,therulerwhofoundedthePrincipate,butAugustusadoptedhimtoensureasmoothtransition.
Externalwarfarewasalsomuchlesscommoninthefirsttwocenturies.TheempireinheritedbyTiberius
fromAugustuswasalreadysovastthatfurtherexpansionwasfelttobeunnecessary.Infact,the‘Augustan
ageisrememberedforthepeaceit usheredinafterdecadesof internalstrifeandcenturiesofmilitary
conquest.TheonlymajorcampaignofexpansionintheearlyempirewasTrajansfruitlessoccupationof
territoryacrosstheEuphrates,intheyears113-17ceabandonedbyhissuccessors.
ShopsinForumJulium,Rome.Thispiazzawithcolumnswasbuiltafter51bce,toenlargetheolderRomanForum.
*Civilwarreferstoarmedstrugglesforpowerwithinthesamecountry,incontrasttoconflictsbetweendifferentcountries.
TheEmperorTrajansDream–AConquestofIndia?
‘Then,after a winter(115/16)inAntioch marked byagreatearthquake,in116 TrajanmarcheddowntheEuphrates toCtesiphon,the
Parthian capital, and then to the head of the Persian Gulf. There [the historian] Cassius Dio describes him looking longingly at a
merchant-shipsettingoffforIndia,andwishingthathewereasyoungasAlexander.
FergusMillar,TheRomanNearEast.
Much more characteristic was the gradual extension of Roman direct rule. This was accomplished by
absorbingawholeseriesof ‘dependent’kingdoms intoRomanprovincialterritory.TheNearEastwas
fullofsuchkingdoms*,butbytheearlysecondcenturythosewhichlaywestoftheEuphrates(towards
Romanterritory)haddisappeared,swallowedupbyRome.(Incidentally,someofthesekingdomswere
exceedinglywealthy,forexampleHerod’skingdomyieldedtheequivalentof5.4milliondenariiperyear,
equaltoover125,000kgofgold!ThedenariuswasaRomansilvercoincontainingabout4½gmofpure
silver.)
Infact,exceptforItaly,whichwasnotconsideredaprovinceinthesecenturies,alltheterritoriesofthe
empire were organised into provinces and subject to taxation. At its peak in the second century, the
RomanEmpirestretchedfromScotlandtothebordersofArmenia,andfromtheSaharatotheEuphrates
and sometimes beyond. Given that there was no government in the modern sense to help them to run
things,youmaywellask,howwasitpossiblefortheemperortocopewiththecontrolandadministration
of such a vast and diverse set of territories, with a population of some 60 million in the mid-second
century?Theanswerliesintheurbanisationoftheempire.
The Near East. From the perspective of someone who lived in the Roman Mediterranean, this
referredtoalltheterritoryeastoftheMediterranean,chieflytheRomanprovincesofSyria,Palestine
andMesopotamia,andinaloosersensethesurroundingterritories,forexampleArabia.
ThegreaturbancentresthatlinedtheshoresoftheMediterranean(Carthage,Alexandria,Antiochwere
the biggest among them) were the true bedrock of the imperial system. It was through the cities that
‘government was able to tax the provincial countrysides which generated much of the wealth of the
empire. What this means is that the local upper classes actively collaborated with the Roman state in
administeringtheirownterritoriesandraisingtaxesfromthem.Infact,oneofthemostinterestingaspects
ofRomanpoliticalhistoryisthedramaticshiftinpowerbetweenItalyandtheprovinces.Throughoutthe
second and third centuries, it was the provincial upper classes who supplied most of the cadre that
governedtheprovincesandcommandedthearmies.Theycametoformaneweliteofadministratorsand
military commanders who became much more powerful than the senatorial class because they had the
backingoftheemperors.Asthisnewgroupemerged,theemperorGallienus(253-68)consolidatedtheir
risetopowerbyexcludingsenatorsfrommilitarycommand.WearetoldthatGallienusforbadesenators
fromservinginthearmyorhavingaccesstoit,inordertopreventcontroloftheempirefromfallinginto
theirhands.
*Thesewerelocalkingdomsthatwere‘clients’ofRome.TheirrulerscouldbereliedontousetheirforcesinsupportofRome,andin
returnRomeallowedthemtoexist.
Tosumup,inthelatefirst,secondandearlythirdcenturiesthearmyandadministrationwereincreasingly
drawnfromtheprovinces,ascitizenshipspreadtotheseregionsandwasnolongerconfinedtoItaly.But
individualsofItalianorigincontinuedtodominatethesenateatleasttillthethirdcentury,whensenators
of provincial origin became a majority. These trends reflected the general decline of Italy within the
empire,bothpoliticalandeconomic,andtheriseofnewelitesinthewealthierandmoreurbanisedparts
oftheMediterranean,suchasthesouthofSpain,Africaandtheeast.AcityintheRomansensewasan
urbancentrewithitsownmagistrates,citycouncilandaterritorycontainingvillageswhichwereunder
its jurisdiction. Thus one city could not be in the territory of another city, but villages almost always
were.Villagescould beupgraded to thestatusof cities, and viceversa,usuallyasa mark ofimperial
favour (or the opposite). One crucial advantage of living in a city was simply that it might be better
providedforduringfoodshortagesandevenfaminesthanthecountryside.
PontduGard,nearNimes,France,firstcenturybce.Romanengineersbuiltmassiveaqueductsoverthreecontinentstocarrywater.
ACTIVITY1
WhowerethethreemainplayersinthepoliticalhistoryoftheRomanEmpire?Writeoneortwolinesabouteachofthem.Andhowdid
theRomanemperormanagetogovernsuchavastterritory?Whosecollaborationwascrucialtothis?
DoctorGalenonhowRomanCitiesTreatedtheCountryside
‘Thefamine prevalentformanysuccessiveyears inmanyprovinceshas clearly displayedformen ofany understanding theeffect of
malnutritioningeneratingillness.Thecity-dwellers,asitwastheircustomtocollectandstoreenoughgrainforthewholeofthenextyear
immediatelyaftertheharvest,carriedoffallthewheat,barley,beansandlentils,andlefttothepeasantsvariouskindsofpulseafter
takingquitealargeproportionofthesetothecity.Afterconsumingwhatwasleftinthecourseofthewinter,thecountrypeoplehadto
resorttounhealthyfoodsinthespring;theyatetwigsandshootsoftreesandbushesandbulbsandrootsofinedibleplants…’
Galen,OnGoodandBadDiet.
PublicbathswereastrikingfeatureofRomanurbanlife(whenoneIranianrulertriedtointroducethem
intoIran,heencounteredthewrathoftheclergythere!Waterwasasacredelementandtouseitforpublic
bathingmayhaveseemedadesecrationtothem),andurbanpopulationsalsoenjoyedamuchhigherlevel
ofentertainment.Forexample,onecalendartellsusthatspectacula(shows)fillednolessthan176days
oftheyear!
AmphitheatreattheRomancantonmenttownofVindonissa(inmodernSwitzerland),firstcenturyce.Usedformilitarydrillandfor
stagingentertainmentsforthesoldiers.
TheThird-CenturyCrisis
Ifthefirstandsecondcenturieswerebyandlargeaperiodofpeace,prosperityandeconomicexpansion,
thethird centurybroughtthe firstmajor signsof internal strain. From the 230s, the empirefound itself
fightingonseveralfrontssimultaneously.InIrananewandmoreaggressivedynastyemergedin225(they
calledthemselvesthe‘Sasanians’)andwithinjust15yearswereexpandingrapidlyinthedirectionofthe
Euphrates.Inafamousrockinscriptioncutinthreelanguages,ShapurI,theIranianruler,claimedhehad
annihilated a Roman army of 60,000 and even captured the eastern capital of Antioch. Meanwhile, a
wholeseriesofGermanictribesorrathertribal confederacies (mostnotably,the Alamanni,the Franks
andtheGoths)begantomoveagainsttheRhineandDanubefrontiers,andthewholeperiodfrom233to
280sawrepeatedinvasionsofawholelineofprovincesthatstretchedfromtheBlackSeatotheAlpsand
southernGermany.TheRomanswereforcedtoabandonmuchoftheterritorybeyondtheDanube,while
theemperorsofthisperiodwereconstantlyinthefieldagainstwhattheRomanscalled‘barbarians’.The
rapidsuccessionofemperorsinthethirdcentury(25emperorsin47years!)isanobvioussymptomofthe
strainsfacedbytheempireinthisperiod.
Gender,Literacy,Culture
OneofthemoremodernfeaturesofRomansocietywasthewidespreadprevalenceofthenuclearfamily.
Adultsonsdidnotlivewiththeirfamilies,anditwasexceptionalforadultbrotherstoshareacommon
household.Ontheotherhand,slaveswereincludedinthefamilyastheRomansunderstoodthis.Bythe
lateRepublic(thefirstcenturybce),thetypicalformofmarriagewasonewherethewifedidnottransfer
toherhusband’sauthoritybutretainedfullrightsinthepropertyofhernatalfamily.Whilethewomans
dowrywenttothehusbandforthedurationofthemarriage,thewomanremainedaprimaryheirofher
father and became an independent property owner on her fathers death. Thus Roman women enjoyed
considerablelegalrightsinowningandmanagingproperty.Inotherwords,inlawthemarriedcouplewas
not one financial entity but two, and the wife enjoyed complete legal independence. Divorce was
relativelyeasyandneedednomorethananoticeofintenttodissolvethemarriagebyeitherhusbandor
wife. On the other hand, whereas males married in their late twenties or early thirties, women were
marriedoffinthelateteensorearlytwenties,sotherewasanagegapbetweenhusbandandwifeandthis
wouldhaveencouraged a certain inequality. Marriageswere generally arranged, and there isno doubt
that women were often subject to domination by their husbands. Augustine*, the great Catholic bishop
whospentmostofhislifeinNorthAfrica,tellsusthathismotherwasregularlybeatenbyhisfatherand
thatmostotherwivesinthesmalltownwherehegrewuphadsimilarbruisestoshow!Finally,fathers
hadsubstantiallegalcontrolovertheirchildren–sometimestoashockingdegree,forexample,alegal
poweroflifeanddeathinexposingunwantedchildren,byleavingthemoutinthecoldtodie.
Whataboutliteracy?Itiscertainthatratesofcasualliteracy*variedgreatlybetweendifferentpartsofthe
empire. For example, in Pompeii, which was buried in a volcanic eruption in 79 ce, there is strong
evidence of widespread casual literacy. Walls on the main streets of Pompeii often carried
advertisements,andgraffitiwerefoundalloverthecity.
Bycontrast,inEgyptwherehundredsofpapyrisurvive,mostformaldocumentssuchascontractswere
usuallywrittenbyprofessionalscribes,andtheyoftentellusthatXorYisunabletoreadandwrite.But
even here literacy was certainly more widespread among certain categories such as soldiers, army
officersandestatemanagers.
*SaintAugustine(354-430)wasbishopoftheNorthAfricancityofHippofrom396andatoweringfigureintheintellectualhistory
oftheChurch.
BishopswerethemostimportantreligiousfiguresinaChristiancommunity,andoftenverypowerful.
Theculturaldiversityoftheempirewasreflectedinmanywaysandatmanylevels:inthevastdiversity
ofreligious cultsand localdeities;thepluralityoflanguagesthat werespoken; the styles ofdressand
costume,thefoodpeopleate,theirformsofsocialorganisation(tribal/non-tribal),eventheirpatternsof
settlement.AramaicwasthedominantlanguagegroupoftheNearEast(atleastwestoftheEuphrates),
Copticwasspoken inEgypt,Punicand Berber in North Africa,CelticinSpainandthe northwest.But
manyoftheselinguisticcultureswerepurelyoral,atleastuntilascriptwasinventedforthem.Armenian,
forexample, only began to bewritten aslateas the fifth century,whereas there was already a Coptic
translationoftheBiblebythemiddleofthethirdcentury.Elsewhere,thespreadofLatindisplacedthe
written form of languages that were otherwise widespread; this happened notably with Celtic, which
ceasedtobewrittenafterthefirstcentury.
*Theuseofreadingandwritingineveryday,oftentrivial,contexts.
OneofthefunniestofthesegraffitifoundonthewallsofPompeiisays:
‘Wall,Iadmireyoufornotcollapsinginruins
Whenyouhavetosupportsomuchboringwritingonyou.’
MosaicinEdessa,secondcenturyce.TheSyriacinscriptionsuggeststhatthosedepictedarethewifeofkingAbgarandherfamily.
Pompeii:Awine-merchant’sdining-room,itswallsdecoratedwithscenesdepictingmythicalanimals.
EconomicExpansion
Theempirehadasubstantialeconomicinfrastructureofharbours,mines,quarries,brickyards,oliveoil
factories, etc. Wheat, wine and olive-oil were traded and consumed in huge quantities, and they came
mainly from Spain, the Gallic provinces, North Africa, Egypt and, to a lesser extent, Italy, where
conditions were best for these crops. Liquids like wine and olive oil were transported in containers
called‘amphorae’.Thefragmentsandsherdsofaverylargenumberofthesesurvive(MonteTestaccioin
Rome is said to contain the remnants of over 50 million vessels!), and it has been possible for
archaeologists to reconstruct the precise shapes of these containers, tell us what they carried, and say
exactly where they were made by examining the clay content and matching the finds with clay pits
throughouttheMediterranean.InthiswaywecannowsaywithsomeconfidencethatSpanisholiveoil,to
takejustoneexample,wasavastcommercialenterprisethatreacheditspeakintheyears140-160.
ShipwreckoffthesouthcoastofFrance,firstcenturybce.TheamphoraeareItalian,bearingthestampofaproducerneartheLake
ofFondi.
ACTIVITY2
HowindependentwerewomenintheRomanworld?ComparethesituationoftheRomanfamilywith
thefamilyinIndiatoday.
The Spanish olive oil of this period was mainly carried in a container called Dressel 20’ (after the
archaeologistwhofirstestablisheditsform).IffindsofDressel20arewidelyscatteredacrosssitesin
the Mediterranean, this suggests that Spanish olive oil circulated very widely indeed. By using such
evidence(the remains of amphorae of differentkinds and their distribution maps’),archaeologistsare
able to show that Spanish producers succeeded in capturing markets for olive oil from their Italian
counterparts.ThiswouldonlyhavehappenedifSpanishproducerssuppliedabetterqualityoilatlower
prices.
In otherwords, the biglandowners from different regions competed with each other for control of the
mainmarketsforthegoodstheyproduced.ThesuccessoftheSpanisholivegrowerswasthenrepeatedby
NorthAfricanproducers–oliveestatesinthispartoftheempiredominatedproductionthroughmostof
thethirdandfourthcenturies.Later,after425,NorthAfricandominancewasbrokenbytheEast:inthe
later fifth and sixth centuries the Aegean, southern Asia Minor (Turkey), Syria and Palestine became
majorexportersofwineandoliveoil,andcontainersfromAfricashowadramaticallyreducedpresence
onMediterraneanmarkets.Behindthesebroadmovementstheprosperityofindividualregionsroseand
felldependingonhoweffectivelytheycouldorganisetheproductionandtransportofparticulargoods,
andonthequalityofthosegoods.
Theempireincludedmanyregionsthathadareputationforexceptionalfertility.CampaniainItaly,Sicily,
theFayuminEgypt,Galilee,Byzacium(Tunisia),southernGaul(calledGalliaNarbonensis),andBaetica
(southernSpain)wereallamongthemostdenselysettledorwealthiestpartsoftheempire,accordingto
writerslikeStraboandPliny.ThebestkindsofwinecamefromCampania.SicilyandByzaciumexported
large quantities of wheat to Rome. Galilee was densely cultivated (‘every inch of the soil has been
cultivated by the inhabitants’, wrote the historian Josephus), and Spanish olive oil came mainly from
numerousestates(fundi)alongthebanksoftheriverGuadalquivirinthesouthofSpain.
Ontheotherhand,largeexpansesofRomanterritorywereinamuchlessadvancedstate.Forexample,
transhumance* was widespread in the countryside of Numidia (modern Algeria). These pastoral and
semi-nomadic communities were often on the move, carrying their oven-shaped huts (called mapalia)
with them. As Roman estates expanded in North Africa, the pastures of those communities were
drasticallyreducedandtheirmovementsmoretightlyregulated.EveninSpainthenorthwasmuchless
developed, and inhabited largely by a Celtic-speaking peasantry that lived in hilltop villages called
castella.WhenwethinkoftheRomanEmpire,weshouldneverforgetthesedifferences.
ACTIVITY3
Archaeologistswhoworkontheremainsofpotteryareabitlikedetectives.Canyouexplainwhy?
Also,whatcanamphoraetellusabout
theeconomiclifeoftheMediterraneanintheRomanperiod?
Weshouldalsobecarefulnottoimaginethatbecausethiswasthe‘ancient’world,theirformsofcultural
andeconomiclifewerenecessarilybackwardorprimitive.Onthecontrary,diversifiedapplicationsof
waterpoweraroundtheMediterraneanaswellasadvancesinwater-poweredmillingtechnology,theuse
ofhydraulicminingtechniquesintheSpanishgoldandsilverminesandthegiganticindustrialscaleon
whichthosemineswereworkedinthefirstandsecondcenturies(withlevelsofoutputthatwouldnotbe
reached again till the nineteenth century, some 1,700 years later!), the existence of well-organised
commercialandbankingnetworks,andthewidespreaduseofmoneyareallindicationsofhowmuchwe
tendtounder-estimatethesophisticationoftheRomaneconomy.Thisraisestheissueoflabourandofthe
useofslavery.
*Transhumanceistheherdsmansregularannualmovementbetweenthehighermountainregionsandlow-lyinggroundinsearchof
pastureforsheepandotherflocks.
ControllingWorkers
Slaverywasaninstitutiondeeplyrootedintheancientworld,bothintheMediterraneanandintheNear
East,andnotevenChristianitywhenitemergedandtriumphedasthestatereligion(inthefourthcentury)
seriouslychallengedthisinstitution.ItdoesnotfollowthatthebulkofthelabourintheRomaneconomy
wasperformedbyslaves.ThatmayhavebeentrueoflargepartsofItalyintheRepublicanperiod(under
Augustustherewerestill3millionslavesinatotalItalianpopulationof7.5million)butitwasnolonger
true of the empire as a whole. Slaves were an investment, and at least one Roman agricultural writer
advisedlandownersagainstusingthemincontextswheretoomanymightberequired(forexample,for
harvests)orwheretheirhealthcouldbedamaged(forexample,bymalaria).Theseconsiderationswere
not based on any sympathy for the slaves but on hard economic calculation. On the other hand, if the
Romanupperclasseswereoftenbrutaltowardstheirslaves,ordinarypeopledidsometimesshowmuch
morecompassion.SeewhatonehistoriansaysaboutafamousincidentthatoccurredinthereignofNero.
As warfare became lesswidespread with the establishment of peace in the first century, the supply of
slaves tended to decline and the users of slave labour thus had to turn either to slave breeding* or to
cheaper substitutes such as wage labour which was more easily dispensable. In fact, free labour was
extensivelyusedonpublicworksatRomepreciselybecauseanextensiveuseofslavelabourwouldhave
beentooexpensive.Unlikehiredworkers,slaveshadtobefedandmaintainedthroughouttheyear,which
increasedthecostofholdingthiskindoflabour.Thisisprobablywhyslavesarenotwidelyfoundinthe
agricultureofthelaterperiod,atleastnotintheeasternprovinces.Ontheotherhand,theyandfreedmen,
thatis,slaveswhohadbeensetfreebytheirmasters,wereextensivelyusedasbusinessmanagers,where,
obviously,theywerenotrequiredinlargenumbers.Mastersoftengavetheirslavesorfreedmencapitalto
runbusinessesontheirbehalforevenbusinessesoftheirown.
TheRomanagriculturalwriterspaidagreatdealofattentiontothemanagementoflabour.Columella,a
first-century writer who came from the south of Spain, recommended that landowners should keep a
reserve stock of implements and tools, twice as many as they needed, so that production could be
continuous, ‘for the loss in slave labour-time exceeds the cost of such items’. There was a general
presumptionamongemployersthatwithoutsupervisionnoworkwouldevergetdone,sosupervisionwas
paramount, for both free workers and slaves. To make supervision easier, workers were sometimes
groupedintogangsorsmallerteams.Columellarecommendedsquadsoften,claimingitwaseasiertotell
who was putting in effort and who was not in work groups of this size. This shows a detailed
considerationofthemanagementoflabour.PlinytheElder,theauthorofaveryfamous‘NaturalHistory’,
condemnedtheuseofslavegangsastheworstmethodoforganisingproduction,mainlybecauseslaves
whoworkedingangswereusuallychainedtogetherbytheirfeet.
OntheTreatmentofSlaves
‘Soon afterwards the City Prefect, LuciusPedanius Secundus, was murdered by one of hisslaves. After the murder, ancient custom
requiredthateveryslaveresidingunderthesameroofmustbeexecuted.Butacrowdgathered,eagertosavesomanyinnocentlives;
and rioting began. The senate-house wasbesieged.Inside, there was feeling against excessive severity, but the majority opposed any
change(….)[Thesenators]favouring executionprevailed.However,greatcrowdsreadywith stonesand torchespreventedtheorder
frombeingcarriedout.Nerorebukedthepopulationbyedict,andlinedwithtroopsthewholeroutealongwhichthosecondemnedwere
takenforexecution.
Tacitus(55-117),historianoftheearlyempire.
*Thepracticeofencouragingfemaleslavesandtheirpartnerstohavemorechildren,whowouldofcoursealsobeslaves.
Opppage:MosaicatCherchel,Algeria,earlythirdcenturyce,withagriculturalscenes.
Above:Ploughingandsowing.
Below:Workinginvineyards.
Allthislooksdraconian*,butweshouldrememberthatmostfactoriesintheworldtodayenforcesimilar
principlesoflabourcontrol.Indeed,someindustrialestablishmentsintheempireenforcedeventighter
controls.TheElderPlinydescribedconditionsinthefrankincense**factories(officinae)ofAlexandria,
where,hetellsus,noamountofsupervisionseemedtosuffice.‘Asealisputupontheworkmensaprons,
theyhavetowearamaskoranetwithaclosemeshontheirheads,andbeforetheyareallowedtoleave
the premises, they have to take off all their clothes.’ Agricultural labour must have been fatiguing and
disliked,forafamousedictoftheearlythirdcenturyreferstoEgyptianpeasantsdesertingtheirvillages
‘in order not to engage in agricultural work. The same was probably true of most factories and
workshops.Alawof398referredtoworkersbeingbrandedsotheycouldberecognisedifandwhenthey
runawayandtrytohide.Manyprivateemployerscasttheiragreementswithworkersintheformofdebt
contractstobeabletoclaimthattheiremployeeswereindebttothemandthusensuretightercontrolover
them. An early, second-century writer tells us, Thousands surrender themselves to work in servitude,
althoughtheyarefree.’Inotherwords,alot ofthepoorerfamilieswentinto debt bondageinorderto
survive.FromoneoftherecentlydiscoveredlettersofAugustinewelearnthatparentssometimessold
theirchildrenintoservitudeforperiodsof25years.Augustineaskedalawyerfriendofhiswhetherthese
childrencouldbeliberatedoncethefatherdied.Ruralindebtednesswasevenmorewidespread;totake
just oneexample, in the great Jewishrevolt of66 ce*the revolutionaries destroyed the moneylenders’
bondstowinpopularsupport.
**Frankincense the European name for an aromatic resin used in incense and perfumes. It is tapped from Boswellia trees by
slashingthebarkandallowingtheexudedresinstoharden.Thebest-qualityfrankincensecamefromtheArabianpeninsula.
*Draconian:Harsh(so-calledbecauseofanearlysixth-centurybce
GreeklawmakercalledDraco,whoprescribeddeathasthepenaltyformostcrimes!).
Again,weshouldbecarefulnottoconcludethatthebulkoflabourwascoercedintheseways.Thelate-fifth-centuryemperor
AnastasiusbuilttheeasternfrontiercityofDarainlessthanthreeweeksbyattractinglabourfromallovertheEastbyofferinghigh
wages.FromthepapyriwecanevenformsomeestimateofhowwidespreadwagelabourhadbecomeinpartsoftheMediterranean
bythesixthcentury,especiallyintheEast.
*ArebellioninJudaeaagainstRomandomination,whichwasruthlesslysuppressedbytheRomans
inwhatiscalledthe‘Jewishwar.
SocialHierarchies
Let us stand back from the details now and try and get a sense of the social structures of the empire.
Tacitusdescribedtheleadingsocialgroupsoftheearlyempireasfollows:senators(patres,lit.‘fathers’);
leadingmembersoftheequestrianclass;therespectablesectionofthepeople,thoseattachedtothegreat
houses; the unkempt lower class (plebs sordida) who, he tells us, were addicted to the circus and
theatrical displays; and finallythe slaves.In the earlythirdcentury when the Senatenumbered roughly
1,000,approximatelyhalfofallsenatorsstillcamefromItalianfamilies.Bythelateempire,whichstarts
withthereignofConstantineIintheearlypartofthefourthcentury,thefirsttwogroupsmentionedby
Tacitus(thesenatorsandtheequites*)hadmergedintoaunifiedandexpandedaristocracy,andatleast
half of all families were of African or eastern origin. This ‘late Roman aristocracy was enormously
wealthybut inmany wayslesspowerfulthanthepurelymilitary eliteswhocamealmost entirely from
non-aristocratic backgrounds. The ‘middle’ class now consisted of the considerable mass of persons
connectedwithimperialserviceinthebureaucracyandarmybutalsothemoreprosperousmerchantsand
farmersofwhomthereweremanyintheeasternprovinces.Tacitusdescribedthisrespectable’middle
classasclientsofthegreatsenatorialhouses.Nowitwaschieflygovernmentserviceanddependenceon
the State that sustained many of these families. Below them were the vast mass of the lower classes
knowncollectivelyashumiliores(lit.‘lower).Theycomprisedarurallabourforceofwhichmanywere
permanently employed on the large estates; workers in industrial and mining establishments; migrant
workerswhosuppliedmuchofthelabourforthegrainandoliveharvestsandforthebuildingindustry;
self-employed artisans who, it was said, were better fed than wage labourers; a large mass of casual
labourers,especiallyinthebigcities;andofcoursethemanythousandsofslavesthatwerestillfoundall
overthewesternempireinparticular.
*The equites, (‘knights’ or ‘horsemen’) were traditionally the second most powerful and wealthy
group.Originally,theywerefamilieswhosepropertyqualifiedthemtoserveinthecavalry,hencethe
name. Like senators, most knights’ were landowners, but unlike senators many of them were
shipowners,tradersandbankers,thatis,involvedinbusinessactivities.
Onewriteroftheearlyfifthcentury,thehistorianOlympiodoruswho wasalsoanambassador,tellsus
thatthearistocracybasedintheCityofRomedrewannualincomesofupto4,000lbsofgoldfromtheir
estates,notcountingtheproducetheyconsumeddirectly!
ACTIVITY4
Thetexthasreferredtothreewriterswhoseworkisusedtosaysomethingabouthow
the Romans treated their workers. Can you identify them? Reread the section for
yourselfanddescribeanytwomethodstheRomansusedtocontrollabour.
Themonetarysystemofthelateempirebrokewiththesilver-basedcurrenciesofthefirstthreecenturies
becausetheSpanishsilvermineswereexhaustedandgovernmentranoutofsufficientstocksofthemetal
to support a stable coinage in silver. Constantine founded the new monetary system on gold and there
werevastamountsofthisincirculationthroughoutlateantiquity.
ThelateRomanbureaucracy, both thehigher and middleechelons, was a comparatively affluent group
because it drew the bulk of itssalary in gold and investedmuch of this in buying up assets like land.
There was of course also a great deal of corruption, especially in the judicial system and in the
administration of military supplies. The extortion of the higher bureaucracy and the greed of the
provincial governors were proverbial. But government intervened repeatedly to curb these forms of
corruption–weonlyknowabouttheminthefirstplacebecauseofthelawsthattriedtoputanendto
them, and because historians and other members of the intelligentsia denounced such practices. This
element of criticism is a remarkable feature of the classical world. The Roman state was an
authoritarianregime;inotherwords,dissent wasrarelytoleratedandgovernmentusuallyrespondedto
protestwithviolence(especiallyinthecitiesoftheEastwherepeoplewereoftenfearlessinmakingfun
ofemperors).YetastrongtraditionofRomanlawhademergedbythefourthcentury,andthisactedasa
brakeoneventhemostfearsomeemperors.Emperorswerenotfreetodowhatevertheyliked,andthe
lawwasactivelyusedtoprotectcivilrights.Thatiswhyinthelaterfourthcenturyitwaspossiblefor
powerfulbishopslikeAmbrosetoconfrontequallypowerfulemperorswhentheywereexcessivelyharsh
orrepressiveintheirhandlingofthecivilianpopulation.
LateAntiquity
WeshallconcludethischapterbylookingattheculturaltransformationoftheRomanworldinitsfinal
centuries.Lateantiquityisthetermnowusedtodescribethefinal,fascinatingperiodintheevolution
and break-up of the Roman Empire and refers broadly to the fourth to seventh centuries. The fourth
century itself was one of considerable ferment, both cultural and economic. At the cultural level, the
period saw momentous developments in religious life, with the emperorConstantine deciding to make
Christianitytheofficialreligion,andwiththeriseofIslamintheseventhcentury.Buttherewereequally
importantchangesinthestructureof the statethatbeganwith the emperorDiocletian(284-305),andit
maybebesttostartwiththese.
IncomesoftheRomanAristocracy,EarlyFifthCentury
‘EachofthegreathousesofRomecontainedwithinitselfeverythingwhichamedium-sizedcitycouldhold,ahippodrome,fora,temples,
fountainsanddifferentkindsofbaths…ManyoftheRomanhouseholdsreceivedanincomeoffourthousandpoundsofgoldper year
fromtheirproperties,notincludinggrain,wineandotherproducewhich,ifsold,wouldhaveamountedtoone-thirdoftheincomeingold.
TheincomeofthehouseholdsatRomeofthesecondclasswasonethousandorfifteenhundredpoundsofgold.’
OlympiodorusofThebes.
OverexpansionhadledDiocletianto‘cutbackbyabandoningterritorieswithlittlestrategicoreconomic
value. Diocletianalsofortifiedthe frontiers, reorganised provincialboundaries,and separatedcivilian
frommilitaryfunctions,grantinggreaterautonomytothemilitarycommanders(duces),whonowbecame
amorepowerfulgroup.Constantineconsolidatedsomeofthesechangesandaddedothersofhisown.His
chiefinnovationswereinthemonetarysphere,whereheintroducedanewdenomination,thesolidus,a
coinof4½gmofpuregoldthatwouldinfactoutlasttheRomanEmpireitself.Solidiweremintedona
verylargescaleandtheircirculationranintomillions.Theotherareaofinnovationwasthecreationofa
second capital at Constantinople (at the site of modern Istanbul in Turkey, and previously called
Byzantium),surroundedonthreesidesbythesea.Asthenewcapitalrequiredanewsenate,thefourth
centurywasaperiodofrapid expansionofthegoverningclasses.Monetarystabilityandanexpanding
populationstimulatedeconomicgrowth,andthearchaeologicalrecordshowsconsiderableinvestmentin
rural establishments, including industrial installations like oil presses and glass factories, in newer
technologiessuchasscrewpressesandmultiplewater-mills,andinarevivalofthelong-distancetrade
withtheEast.
Allofthiscarriedoverintostrongurbanprosperitythatwasmarkedbynewformsofarchitectureandan
exaggerated sense of luxury. The ruling elites were wealthier and more powerful than ever before. In
Egypt,hundredsofpapyrisurvivefromtheselatercenturiesandtheyshowusarelativelyaffluentsociety
wheremoneywasinextensiveuseandruralestatesgeneratedvastincomesingold.Forexample,Egypt
contributedtaxesofover2½millionsolidiayear(roughly35,000lbsofgold)inthereignofJustinianin
thesixthcentury.Indeed,largepartsoftheNearEasterncountrysideweremoredevelopedanddensely
settledinthefifthandsixthcenturiesthantheywouldbeeveninthetwentiethcentury!Thisisthesocial
backgroundagainstwhichweshouldsettheculturaldevelopmentsofthisperiod.
Thetraditionalreligiouscultureoftheclassicalworld,bothGreekandRoman,hadbeenpolytheist.That
is,itinvolvedamultiplicityofcultsthatincludedbothRoman/ItaliangodslikeJupiter,Juno,Minervaand
Mars,aswellasnumerous Greekandeasterndeities worshippedinthousands of temples,shrinesand
sanctuariesthroughouttheempire.Polytheistshadnocommonnameorlabeltodescribethemselves.The
other great religious traditionin the empirewasJudaism. ButJudaism was not a monolith* either, and
there was a great deal of diversity within the Jewish communities of late antiquity. Thus, the
‘Christianisation’** of theempirein the fourth and fifth centuries wasa gradual and complex process.
Polytheismdidnotdisappearovernight,especiallyinthewesternprovinces,wheretheChristianbishops
wagedarunningbattleagainstbeliefsandpracticestheycondemnedmorethantheChristianlaity***did.
PartofacolossalstatueofEmperorConstantine,313ce.
The boundaries between religious communities were much more fluid in the fourth century than they
wouldbecomethankstotherepeatedeffortsofreligiousleaders,thepowerfulbishopswhonowledthe
Church,toreinintheirfollowersandenforceamorerigidsetofbeliefsandpractices.
***Laitytheordinarymembersofareligiouscommunityasopposedtothepriestsorclergywhohaveofficialpositionswithinthe
community.
*Monolithliterallyalargeblock ofstone,but the expressionisused to referto anything(forexample asocietyor culture)that
lacksvarietyandisallofthesametype.
**Christianisation the processby whichChristianity spread amongdifferentgroupsofthe population andbecamethedominant
religion.
ThegeneralprosperitywasespeciallymarkedintheEastwherepopulationwasstillexpandingtillthe
sixthcentury,despitetheimpactoftheplaguewhichaffectedtheMediterraneaninthe540s.IntheWest,
by contrast, the empire fragmented politically as Germanic groups from the North (Goths, Vandals,
Lombards,etc.)tookoverallthemajor provincesandestablishedkingdomsthat arebest describedas
‘post-Roman’.ThemostimportantofthesewerethatoftheVisigothsinSpain,destroyedbytheArabs
between711and720,thatoftheFranksinGaul(c.511-687)andthatoftheLombardsinItaly(568-774).
These kingdoms foreshadowed the beginnings of a different kind of world that is usually called
‘medieval’.IntheEast,wheretheempireremainedunited,thereignofJustinianisthehighwatermarkof
prosperityandimperialambition.JustinianrecapturedAfricafromtheVandals(in533)buthisrecovery
ofItaly(fromtheOstrogoths)leftthatcountrydevastatedandpavedthewayfortheLombardinvasion.By
theearlyseventhcentury,thewarbetweenRomeandIranhadflaredupagain,andtheSasanianswhohad
ruled Iran since the third century launched a wholesale invasion of all the major eastern provinces
(includingEgypt).WhenByzantium,astheRomanEmpirewasnowincreasinglyknown,recoveredthese
provincesinthe620s,itwasjustafewyearsaway,literally,fromthefinalmajorblowwhichcame,this
time,fromthesouth-east.
TheColosseum,builtin79ce,wheregladiatorsfoughtwildbeasts.Itcouldaccommodate60,000people.
Theexpansion ofIslam from itsbeginnings inArabiahasbeencalled ‘thegreatest politicalrevolution
evertooccurinthehistoryoftheancientworld’.By642,barelytenyearsaftertheProphetMuhammad’s
death,largepartsofboththeeasternRomanandSasanianempireshadfallentotheArabsinaseriesof
stunning confrontations. However, we should bear in mind that those conquests, which eventually (a
centurylater)extendedasfarafieldasSpain,SindandCentralAsia,beganinfactwiththesubjectionof
theArabtribesbytheemergingIslamicstate,firstwithinArabiaandthenintheSyriandesertandonthe
fringesofIraq. As we will seein Theme 4, the unification ofthe Arabian peninsulaand its numerous
tribeswasthekeyfactorbehindtheterritorialexpansionofIslam.
Map2:WestAsia
MosaicatRavenna,547ce,showingEmperorJustinian.
Exercises
Answerinbrief
1. If you had livedin theRoman Empire, where would you rather havelived – inthe townsor in the
countryside?Explainwhy.
2.Compilealistofsomeofthetowns,cities,rivers,seasandprovincesmentionedinthischapter,and
thentryandfindthemonthemaps.Canyousaysomethingaboutanythreeoftheitemsinthelistyouhave
compiled?
3.ImaginethatyouareaRomanhousewifepreparingashoppinglistforhouseholdrequirements.What
wouldbeonthelist?
4.WhydoyouthinktheRomangovernmentstoppedcoininginsilver?Andwhichmetaldiditbegintouse
fortheproductionofcoinage?
Answerinashortessay
5.SupposetheemperorTrajanhadactuallymanagedtoconquerIndiaandtheRomanshadheldontothe
countryforseveralcenturies.InwhatwaysdoyouthinkIndiamightbedifferenttoday?
6. Go through the chapter carefully and pick out some basic features of Roman society and economy
whichyouthinkmakeitlookquitemodern.
Theme4
TheCentralIslamicLands
Asweenterthetwenty-firstcentury,thereareover1billionMuslimslivinginallpartsoftheworld.
Theyarecitizensofdifferentnations,speakdifferentlanguages,anddressdifferently.Theprocesses
bywhichtheybecameMuslimswerevaried,andsowerethecircumstancesinwhichtheywenttheir
separateways.Yet,theIslamiccommunityhasitsrootsinamoreunifiedpastwhichunfoldedroughly
1,400yearsagointheArabianpeninsula.InthischapterwearegoingtoreadabouttheriseofIslam
anditsexpansionoveravastterritoryextendingfromEgypttoAfghanistan,thecoreareaofIslamic
civilisation from 600 to 1200. In these centuries, Islamic society exhibited multiple political and
culturalpatterns.ThetermIslamicisusedherenotonlyinitspurelyreligioussensebutalsoforthe
overallsocietyandculturehistoricallyassociatedwithIslam.Inthissocietynoteverythingthatwas
happening originated directly fromreligion,but it took place in a society whereMuslims and their
faithwererecognisedassociallydominant.Non-Muslimsalways formedanintegral,if subordinate,
partofthissocietyasdidJewsinChristendom.
OurunderstandingofthehistoryofthecentralIslamiclandsbetween600and1200isbasedonchronicles
ortawarikh(whichnarrateeventsinorderoftime)andsemi-historicalworks,suchasbiographies(sira),
records of the sayings and doings of the Prophet (hadith)and commentaries on theQuran (tafsir). The
materialfromwhichtheseworkswereproducedwasalargecollectionofeyewitnessreports(akhbar)
transmittedoveraperiodoftimeeitherorallyoronpaper.Theauthenticityofeachreport(khabar)was
testedbyacriticalmethodwhichtracedthechainoftransmission(isnad)andestablishedthereliabilityof
the narrator. Although the method was not foolproof, medieval Muslim writers were more careful in
selecting their information and understanding the motives of their informants than were their
contemporariesinotherpartsoftheworld.Oncontroversialissues,theyreproduceddifferentversionsof
the same event, as they found in their sources, leaving the task of judgement to their readers. Their
descriptionofeventsclosertotheirowntimesismoresystematicandanalyticalandlessofacollection
ofakhbar.Mostofthechroniclesandsemi-historicalworksareinArabic,thebestbeingtheTarikhof
Tabari(d.923)whichhasbeentranslatedintoEnglishin38volumes.Persianchroniclesarefewbutthey
arequite detailedintheirtreatmentof IranandCentralAsia.Christianchronicles,writteninSyriac(a
dialect of Aramaic*), are fewer but they throw interesting light on the history of early Islam. Besides
chronicles,wehavelegaltexts,geographies,traveloguesandliteraryworks,suchasstoriesandpoems.
Documentaryevidence(fragmentarypiecesofwriting,suchasofficialordersorprivatecorrespondence)
isthemostvaluableforwritinghistoriesbecauseitdoesnotconsciouslyrefertoeventsandpersons.It
comes almostentirely from Greek and Arabicpapyri (good for administrative history) and the Geniza
records. Some evidence has emerged from archaeological (excavations done at desert palaces),
numismatic (study of coins) and epigraphic (study of inscriptions) sources which is of great value for
economichistory,arthistory,andforestablishingnamesanddates.
Proper histories of Islam began to be written in the nineteenth century by university professors in
GermanyandtheNetherlands.ColonialinterestsintheMiddleEastandNorthAfricaencouragedFrench
andBritishresearcherstostudyIslamaswell.Christianprieststoopaidcloseattentiontothehistoryof
Islam and produced some good work, although their interest was mainly to compare Islam with
Christianity. These scholars,called Orientalists, are known fortheir knowledge of Arabic and Persian
andcriticalanalysisoforiginaltexts.IgnazGoldziherwasaHungarianJewwhostudiedattheIslamic
college(al-Azhar)inCairoandproducedpath-breakingstudiesinGermanofIslamiclawandtheology.
Twentieth-century historians of Islam have largely followed the interests and methods of Orientalists.
TheyhavewidenedthescopeofIslamichistorybyincludingnewtopics,andbyusingallieddisciplines,
such as economics, anthropology and statistics, have refined many aspects of Orientalist studies. The
historiographyofIslamisagoodexampleofhowreligioncanbestudiedwithmodernhistoricalmethods
bythosewhomaynotsharethecustomsandbeliefsofthepeopletheyarestudying.
*AramaicisalanguagerelatedtoHebrewandArabic.IthasalsobeenusedinAshokaninscriptions.
TheRiseofIslaminArabia:Faith,CommunityandPolitics
During612-32,theProphetMuhammadpreachedtheworshipofasingleGod,Allah,andthemembership
ofasingle community ofbelievers(umma). This wasthe origin of Islam.MuhammadwasanArab by
languageandcultureandamerchantbyprofession.Sixth-centuryArabculturewaslargelyconfinedtothe
ArabianpeninsulaandareasofsouthernSyriaandMesopotamia.
TheArabsweredividedintotribes*(qabila),eachledbyachiefwhowaschosenpartlyonthebasisof
hisfamilyconnectionsbutmoreforhispersonalcourage,wisdomandgenerosity(murawwa).Eachtribe
haditsowngodorgoddess,whowasworshippedasanidol(sanam)inashrine.ManyArabtribeswere
nomadic (Bedouins), moving from dry to green areas (oases) of the desert in search of food (mainly
dates)andfodderfortheircamels.Somesettledincitiesandpractisedtradeoragriculture.Muhammad’s
own tribe, Quraysh, lived in Mecca and controlled the main shrine there, a cube-like structure called
Kaba,in which idols wereplaced.Even tribes outsideMecca considered theKaba holy and installed
theirownidolsatthisshrine,makingannualpilgrimages(hajj)totheshrine.Meccawaslocatedonthe
crossroadsofatraderoutebetweenYemenandSyriawhichfurtherenhancedthecitysimportance(see
Mapp.82).TheMeccanshrinewasasanctuary(haram)whereviolencewasforbiddenandprotection
given to all visitors. Pilgrimage and commerce gave the nomadic and settled tribes opportunities to
communicatewithoneanotherandsharetheirbeliefsandcustoms.AlthoughthepolytheisticArabswere
vaguelyfamiliarwiththenotionofaSupremeGod,Allah(possiblyundertheinfluenceoftheJewishand
Christian tribes living in their midst), their attachment to idols and shrines was more immediate and
stronger.
*Tribesaresocietiesorganisedonthebasisofbloodrelationships.TheArabtribesweremadeupofclansorcombinationsoflarge
families. Unrelated clans also merged to make a tribe stronger. Non-Arab individuals (mawali) became members through the
patronageofprominenttribesmen.EvenafterconvertingtoIslam,themawaliwerenevertreatedasequalsbytheArabMuslimsand
hadtoprayinseparatemosques.
Around612,Muhammaddeclaredhimselftobethemessenger(rasul)ofGodwhohadbeencommanded
to preach that Allah alone should be worshipped. The worship involved simple rituals, such as daily
prayers(salat),andmoralprinciples,suchasdistributingalmsandabstainingfromtheft.Muhammadwas
tofoundacommunityofbelievers(umma)boundbyacommonsetofreligiousbeliefs.Thecommunity
wouldbearwitness(shahada)totheexistenceofthereligionbeforeGodaswellasbeforemembersof
other religious communities. Muhammad’s message particularly appealed to those Meccans who felt
deprivedofthegainsfromtradeandreligionandwerelookingforanewcommunityidentity.Thosewho
accepted the doctrine were called Muslims. They were promised salvation on the Day of Judgement
(qiyama) and a share of the resources of the community while on earth. The Muslims soon faced
considerable opposition from affluent Meccans who took offence to the rejection of their deities and
foundthenewreligionathreattothestatusandprosperityofMecca.In622,Muhammadwasforced
tomigratewithhisfollowerstoMedina.Muhammad’sjourneyfromMecca(hijra)wasaturningpointin
thehistoryof
Islam,withtheyearofhisarrivalinMedinamarkingthebeginningoftheMuslimcalendar.
Athirteenthcenturypaintingfrom‘AjaibulMakhluqat’depictingtheartistsimaginationoftheArchangelGabriel(Jibril)who
broughtmessagestoMuhammad.Thefirstwordhespokewas‘recite’(iqra)fromwhichhascomethewordQuran.InIslamic
cosmology,angelsareoneofthethreeintelligentformsoflifeintheUniverse.Theothertwoarehumansandjinns.
IslamicCalendar
TheHijrierawasestablishedduringthecaliphateofUmar,withthefirstyearfallingin622ce.AdateintheHijricalendarisfollowedby
thelettersah.
TheHijriyearisalunaryearof354days,12months(MuharramtoDhulHijja)of29or30days.Eachdaybeginsatsunsetandeach
monthwiththesightingofthecrescentmoon.TheHijriyearisabout11daysshorterthanthesolaryear.Therefore,noneoftheIslamic
religiousfestivals,includingtheRamazanfast,Idandhajj,correspondsinanywaytoseasons.Thereisnoeasywaytomatchthedatesin
theHijricalendarwiththedatesintheGregoriancalendar(establishedbyPopeGregoryXIIIin1582ce).Onecancalculatetherough
equivalentsbetweentheIslamic(H)andGregorianChristian(C)yearswiththefollowingformulae:
(H×32/33)+622=C
(C–622)×33/32=H
Thesurvivalofareligionrestsonthesurvivalofthecommunityofbelievers.Thecommunityhastobe
consolidated internally and protected from external dangers. Consolidation and protection require
politicalinstitutionssuchasstatesandgovernmentswhichareeitherinheritedfromthepast,borrowed
from outside or created from scratch. In Medina, Muhammad created a political order from all three
sourceswhichgavehisfollowerstheprotectiontheyneededaswellasresolvedthecitysongoingcivil
strife.TheummawasconvertedintoawidercommunitytoincludepolytheistsandtheJewsofMedina
under the political leadership of Muhammad. Muhammad consolidated the faith for his followers by
addingandrefiningrituals(suchasfasting)andethicalprinciples.Thecommunitysurvivedonagriculture
and trade, as well as an alms tax (zakat). In addition, the Muslims organised expeditionary raids on
Meccan caravans and nearby oases. These raids provoked reactions from the Meccans and caused a
breach with the Jews of Medina. After a series of battles, Mecca was conquered and Muhammad’s
reputationasareligiouspreacherandpoliticalleaderspreadfarandwide.Muhammadnowinsistedon
conversionasthesolecriterionformembershipofthecommunity.Intheharshconditionsofthedesert,
theArabsattachedgreatvaluetostrengthandsolidarity.ImpressedbyMuhammad’sachievements,many
tribes,mostlyBedouins, joined thecommunity by converting to Islam. Muhammad’s alliancesbegan to
spread until they embraced the whole of Arabia. Medina became the administrative capital of the
emergingIslamicstatewithMeccaasitsreligiouscentre.TheKabawascleansed ofidolsasMuslims
wererequiredtofacetheshrinewhenofferingprayers.Inashortspaceoftime,Muhammadwasableto
unitealargepartofArabiaunderanewfaith,communityandstate.TheearlyIslamicpolity,however,
remainedafederationofArabtribesandclansforalongtime.
PilgrimsattheKaba,illustrationfromafifteenth-centuryPersianmanuscript.
TheCaliphate:Expansion,CivilWarsandSectFormation
AfterMuhammad’sdeathin632,noonecouldlegitimatelyclaimtobethenextprophetof Islam.Asa
result, his political authority was transferred totheumma with no established principle of succession.
ThiscreatedopportunitiesforinnovationsbutalsocauseddeepdivisionsamongtheMuslims.Thebiggest
innovationwasthecreationoftheinstitutionofcaliphate,inwhichtheleaderofthecommunity(amiral-
muminin) became the deputy (khalifa) of the Prophet. The first four caliphs (632-61) justified their
powersonthebasisoftheircloseassociationwiththeProphetandcontinuedhisworkunderthegeneral
guidelines he hadprovided.The twinobjectivesof thecaliphateweretoretain controloverthe tribes
constitutingtheummaandtoraiseresourcesforthestate.
Following Muhammad’s death, many tribes broke away from theIslamic state.Someeven raised their
ownprophetstoestablishcommunitiesmodelledontheumma.Thefirstcaliph,AbuBakr,suppressedthe
revoltsbyaseriesof campaigns. The secondcaliph, Umar, shaped the ummas policy of expansion of
power.Thecaliphknewthattheummacouldnotbemaintainedoutofthemodestincomederivedfrom
trade and taxes. Realising that rich booty (ghanima) could be obtained from expeditionary raids, the
caliph and his military commanders mustered their tribal strength to conquer lands belonging to the
Byzantine Empire in the west and the Sasanian empire in the east. At the height of their power, the
Byzantine and Sasanian empires ruled vast territories and commanded huge resources to pursue their
political and commercial interests in Arabia. The Byzantine Empire promoted Christianity and the
SasanianempirepatronisedZoroastrianism,theancientreligionofIran.OntheeveoftheArabinvasions,
thesetwoempireshaddeclinedinstrengthduetoreligiousconflictsandrevoltsbythearistocracy.This
madeiteasierfortheArabstoannexterritoriesthroughwarsandtreaties.Inthreesuccessfulcampaigns
(637-642),theArabsbroughtSyria,Iraq,IranandEgyptunderthecontrolofMedina.Militarystrategy,
religious fervour and the weakness of the opposition contributed to the success of the Arabs. Further
campaigns were launched by the third caliph, Uthman, to extend the control to Central Asia. Within a
decadeofthedeathofMuhammad,theArab-IslamicstatecontrolledthevastterritorybetweentheNile
andtheOxus.TheselandsremainunderMuslimruletothisday.
Map1:TheIslamicLands
ExpansionofIslamunderMuhammad
CentralIslamiclandsc.750
Inalltheconqueredprovinces,thecaliphsimposedanewadministrativestructureheadedbygovernors
(amirs)andtribalchieftains(ashraf).Thecentraltreasury(baital-mal)obtaineditsrevenuefromtaxes
paidby Muslims aswellas its shareof thebooty from raids.The caliphssoldiers, mostly Bedouins,
settledincampcitiesattheedgeofthedesert,suchasKufaandBasra,toremainwithinreachoftheir
natural habitat as well as the caliphs command. The ruling class and soldiers received shares of the
booty and monthly payments (ata). The non-Muslim population retained their rights to property and
religiouspracticesonpaymentoftaxes(kharajandjiziya).JewsandChristiansweredeclaredprotected
subjectsofthestate(dhimmis)andgivenalargemeasureofautonomyintheconductoftheircommunal
affairs.
PoliticalexpansionandunificationdidnotcomeeasilytotheArabtribesmen.Withterritorialexpansion,
theunityoftheummabecamethreatenedbyconflictsoverthedistributionofresourcesandoffices.The
rulingclassoftheearlyIslamicstatecomprisedalmostentirelytheQurayshofMecca.Thethirdcaliph,
Uthman(644-56),alsoaQuraysh,packedhisadministrationwithhisownmentosecuregreatercontrol.
This further intensified the Meccan character of the state and the conflict with the other tribesmen.
OppositioninIraqandEgypt,combinedwithoppositioninMedina,ledtotheassassinationofUthman.
WithUthmansdeath,Alibecamethefourthcaliph.
TheriftsamongtheMuslimsdeepenedafterAli(656-61)foughttwowarsagainstthosewhorepresented
theMeccan aristocracy. Ali’s supporters and enemieslater cameto form the two main sects of Islam:
ShiasandSunnis.AliestablishedhimselfatKufaanddefeatedanarmyledbyMuhammad’swife,Aisha,
intheBattleoftheCamel(657).Hewas,however,notabletosuppressthefactionledbyMuawiya,a
kinsman of Uthman and the governor of Syria. Alis second battle, at Siffin (northern Mesopotamia),
endedinatrucewhichsplithisfollowersintotwogroups:someremainedloyaltohim,whileothersleft
thecampandcametobeknownasKharjis.Soonafter,AliwasassassinatedbyaKharjiinamosqueat
Kufa.Afterhisdeath,hisfollowerspaidallegiancetohisson,Hussain,andhisdescendants.Muawiya
madehimselfthenextcaliphin661,foundingtheUmayyaddynastywhichlastedtill750.
Afterthecivilwars,itappearedasifArabdominationwoulddisintegrate.Therewerealsosignsthatthe
tribalconquerorswereadoptingthesophisticatedcultureoftheirsubjects.ItwasundertheUmayyads,a
prosperousclanoftheQurayshtribe,thatasecondroundofconsolidationtookplace.
TheUmayyadsandtheCentralisationofPolity
The conquest of large territories destroyed the caliphate based in Medina and replaced it with an
increasingly authoritarian polity. The Umayyads implemented a series of political measures which
consolidatedtheirleadershipwithintheumma.ThefirstUmayyadcaliph,Muawiya,movedhiscapitalto
DamascusandadoptedthecourtceremoniesandadministrativeinstitutionsoftheByzantineEmpire.He
alsointroducedhereditarysuccessionandpersuadedtheleadingMuslimstoaccepthissonashisheir.
Theseinnovationswereadoptedbythecaliphswhofollowedhim,andallowedtheUmayyadstoretain
powerfor90yearsandtheAbbasids,fortwocenturies.
TheUmayyadstatewasnowanimperialpower,nolongerbaseddirectlyonIslambutonstatecraftand
theloyaltyofSyriantroops.TherewereChristianadvisersintheadministration,aswellasZoroastrian
scribes and bureaucrats. However, Islam continued to provide legitimacy to their rule. The Umayyads
alwaysappealedforunityandsuppressedrebellionsinthenameofIslam.TheyalsoretainedtheirArab
socialidentity.DuringthereignofAbdal-Malik(685-705)andhissuccessors,boththeArabandIslamic
identitieswerestronglyemphasised.AmongthemeasuresAbdal-MaliktookweretheadoptionofArabic
as thelanguageofadministrationandtheintroductionofanIslamiccoinage.Thegolddinar and silver
dirhamthathadbeencirculatinginthecaliphatewerecopiesofByzantineandIraniancoins(denariusand
drachm), with symbols of crosses and fire altars and Greek and Pahlavi (the language of Iran)
inscriptions.ThesesymbolswereremovedandthecoinsnowcarriedArabicinscriptions.Abdal-Malik
alsomadeahighlyvisiblecontributiontothe developmentof anArab-Islamicidentity,bybuildingthe
DomeoftheRockinJerusalem.
TheDomeoftheRock,builtoverarockymoundbyAbdal-Malik,istheearliestmajorworkofIslamicarchitecture.Createdasa
monumenttotheMuslimpresenceinthecityofJerusalem,itacquiredamysticalassociationconnectedwiththeNightJourneyofthe
ProphettoHeaven(miraj).
Abdal-Malik’sCoinageReform
ThethreecoinspecimensshowthetransitionfromByzantinetoArab-Islamiccoinage.Onthesecondcoin,thebeardedandlong-haired
caliphisdressedintraditionalArabrobesandisholdingasword.ItisthefirstextantportraitofaMuslim.Itisalsouniquebecauselater
theredeveloped anantipathytowardstherepresentationof living beingsin artandcraft.Abd al-Malik’sreformofcoinagewas linked
withhisreorganisationofstatefinances.Itprovedsosuccessfulthatforhundredsofyears,coinswerestruckaccordingtothepattern
andweightofthethirdspecimen.
Byzantinegoldsolidus(denariusaureus)showingtheemperorHeracliusandhistwosons.
PortraitgolddinarstruckbyAbdal-Malikwithhisnameandimage.
Thereformeddinarwaspurelyepigraphic.Itcarriesthekalima:‘ThereisnoGodbutAllahandHehasnopartner(sharik)’
TheAbbasidRevolution
FortheirsuccessincentralisingtheMuslimpolity,theUmayyadspaidaheavyprice.Awell-organised
movement,calleddawa,broughtdowntheUmayyadsandreplacedthemwithanotherfamilyofMeccan
origin, the Abbasids, in 750. The Abbasids portrayed the Umayyad regime as evil and promised a
restoration of theoriginalIslam of the Prophet. The revolution lednot only to a change of dynasty but
changesinthepoliticalstructureandcultureofIslam.
TheAbbasiduprisingbrokeoutinthedistantregionofKhurasan(easternIran),a20-dayjourneyfrom
Damascusonafasthorse.KhurasanhadamixedArab-Iranianpopulationwhichcouldbemobilisedfor
various reasons. The Arab soldiers here were mostly from Iraq and resented the dominance of the
Syrians.ThecivilianArabsofKhurasandislikedtheUmayyadregimeforhavingmadepromisesoftax
concessionsandprivilegeswhichwereneverfulfilled.AsfortheIranianMuslims(mawali),theywere
exposed to the scorn of the race-conscious Arabs and were eager to join any campaign to oust the
Umayyads.
TheAbbasids,descendantsofAbbas,theProphetsuncle,musteredthesupportofthevariousdissident
groups and legitimised their bidforpowerby promising that a messiah(mahdi)from the familyof the
Prophet(ahlal-bayt)wouldliberatethemfromtheoppressiveUmayyadregime.Theirarmywasledby
an Iranian slave, AbuMuslim, who defeated the lastUmayyad caliph, Marwan, in a battle atthe river
Zab.
Under Abbasid rule, Arab influence declined, while the importance of Iranian culture increased. The
AbbasidsestablishedtheircapitalatBaghdad,neartheruinsoftheancientIranianmetropolis,Ctesiphon.
Thearmyandbureaucracywerereorganisedonanon-tribalbasistoensuregreaterparticipationbyIraq
and Khurasan. The Abbasid rulers strengthened the religious status and functions of the caliphate and
patronisedIslamicinstitutionsandscholars.Buttheywereforcedbytheneedsofgovernmentandempire
to retain the centralised nature of the state. They maintained the magnificent imperial architecture and
elaboratecourtceremonialsoftheUmayyads.Theregimewhichtookprideinhavingbroughtdownthe
monarchyfounditselfcompelledtoestablishitagain.
TheGreatMosqueofal-MutawwakilinSamarra(thesecondAbbasidcapital)builtin850.Theminaris50metreshigh,andismade
ofbrick.InspiredbyMesopotamianarchitecturaltraditions,thiswasthelargestmosqueintheworldforcenturies.
Break-upoftheCaliphateandtheRiseofSultanates
The Abbasid state became weaker from the ninth century because Baghdad’s control over the distant
provincesdeclined,andbecauseofconflictbetweenpro-Arabandpro-Iranianfactionsinthearmyand
bureaucracy.In810,acivilwarbrokeoutbetweensupportersofAminandMamun,sonsofthecaliph
Harun al-Rashid, which deepened the factionalism and created a new power bloc of Turkish slave
officers (mamluk). Shiism once again competed with Sunni orthodoxy for power. A number of minor
dynastiesarose,suchastheTahiridsandSamanidsinKhurasanandTransoxiana(Turanorlandsbeyond
the Oxus), and the Tulunids in Egypt and Syria. Abbasid power was soon limited to central Iraq and
western Iran. That too waslost in945whentheBuyids, aShiiteclan fromthe Caspian regionof Iran
(Daylam), captured Baghdad. The Buyid rulers assumed various titles, including the ancient Iranian
titleshahanshah(kingofkings),butnotthatofcaliph.TheykepttheAbbasidcaliphasthesymbolichead
oftheirSunnisubjects.
Activity1
Identify the changing locations ofthecaliphate’scapital. Which would you say was
mostcentrallysituated?
Thedecisionnottoabolishthecaliphatewasashrewdone,becauseanotherShiitedynasty,theFatimids,
had ambitions to rule the Islamic world. The Fatimids belonged to the Ismaili sub-sect of Shiism and
claimedtobedescendedfromtheProphetsdaughter,Fatima,andhence,thesolerightfulrulersofIslam.
FromtheirbaseinNorthAfrica,theyconqueredEgyptin969andestablishedtheFatimidcaliphate.The
oldcapitalofEgypt,Fustat,wasreplacedbyanewcity,Qahira(Cairo),foundedonthedayoftheriseof
theplanetMars(Mirrikh,alsocalledal-Qahir).ThetworivaldynastiespatronisedShiiteadministrators,
poetsandscholars.
Between 950 and 1200, Islamic society was held together not by a single political order or a single
languageofculture(Arabic)butbycommoneconomicandculturalpatterns.Unityinthefaceofpolitical
divisionswasmaintainedbytheseparation betweenstateandsociety,thedevelopmentof Persianasa
languageofIslamichighculture,andthematurityofthedialoguebetweenintellectualtraditions.Scholars,
artistsandmerchantsmovedfreelywithinthecentralIslamiclandsandassuredthecirculationofideas
andmanners.Someofthesealsopercolateddowntothelevelofvillagesduetoconversion.TheMuslim
population,lessthan10percentintheUmayyadandearlyAbbasidperiods,increasedenormously.The
identityofIslamasareligionandaculturalsystemseparatefromotherreligionsbecamemuchsharper,
whichmadeconversionpossibleandmeaningful.
AthirdethnicgroupwasaddedtotheArabsandIranians,withtheriseoftheTurkishsultanatesinthe
tenthandeleventhcenturies.TheTurkswerenomadictribesfromtheCentralAsiansteppes(grasslands)
ofTurkistan(north-eastoftheAralSeauptothebordersofChina)whograduallyconvertedtoIslam(see
Theme5).TheywereskilledridersandwarriorsandenteredtheAbbasid,SamanidandBuyid
administrationsas slavesandsoldiers,rising tohigh positionson account of theirloyalty and military
abilities. The Ghaznavid sultanate was established by Alptegin (961) and consolidated by Mahmud of
Ghazni(998-1030).LiketheBuyids,theGhaznavidswereamilitarydynastywithaprofessionalarmyof
TurksandIndians(oneofthegeneralsofMahmudwasanIndiannamedTilak).Buttheircentreofpower
was in Khurasan and Afghanistan and for them, the Abbasid caliphs were not rivals but a source of
legitimacy.Mahmudwasconsciousofbeingthesonofaslaveandwasespeciallyeagertoreceivethe
titleofSultanfromthecaliph.ThecaliphwaswillingtosupporttheSunniGhaznavidasacounterweight
toShiitepower.
TheSaljuqTurksenteredTuranassoldiersinthearmiesoftheSamanidsandQarakhanids(non-Muslim
Turksfromfurthereast).Theylaterestablishedthemselvesasapowerfulgroupundertheleadershipof
twobrothers,TughrilandChaghriBeg.TakingadvantageofthechaosfollowingthedeathofMahmudof
Ghazni,theSaljuqsconqueredKhurasanin1037andmadeNishapur*theirfirstcapital.TheSaljuqsnext
turnedtheirattentiontowesternPersiaandIraq(ruledbytheBuyids)andin1055,restoredBaghdadto
Sunnirule.Thecaliph,al-Qaim,conferredonTughrilBegthetitleofSultaninamovethatmarkedthe
separationofreligiousandpoliticalauthority.ThetwoSaljuqbrothersruledtogetherinaccordancewith
thetribalnotionofrulebythefamilyasawhole.Tughril(d.1064)wassucceededbyhisnephew,Alp
Arsalan.DuringAlpArsalansreign,theSaljuqempireexpandedtoAnatolia(modernTurkey).
*AnimportantPerso-IslamiccentreoflearningandthebirthplaceofUmarKhayyam.
Fromtheeleventhtothethirteenthcenturies,therewasaseriesofconflictsbetweenEuropeanChristians
andtheArabstates.Thisisdiscussedbelow.Then,atthestartofthethirteenthcentury,theMuslimworld
found itself on the verge of a great disaster. This was the threat from the Mongols, the last but most
decisiveofallnomadicassaultsonsettledcivilisations(seeTheme5).
TheCrusades
In medievalIslamic societies,Christians wereregarded as the Peopleof the Book (ahlal-kitab) since
theyhadtheirownscripture(theNewTestamentorInjil).Christiansweregrantedsafeconduct(aman)
whileventuringintoMuslimstatesasmerchants,pilgrims,ambassadorsandtravellers.Theseterritories
alsoincludedthosewhichwereonceheldbytheByzantineEmpire,notablytheHolyLandofPalestine.
JerusalemwasconqueredbytheArabsin638butitwasever-presentintheChristianimaginationasthe
placeofJesus’crucifixionandresurrection.Thiswasanimportantfactorintheformationoftheimageof
MuslimsinChristianEurope.
Hostility towards the Muslim world became more pronounced in the eleventh century. Normans,
HungariansandsomeSlavshad
been converted to Christianity, and the Muslims alone remained as the main enemy. There was also a
change in the social and economic organisation of western Europe in the eleventh century which
contributedtothehostilitybetweenChristendomandtheIslamicworld.Theclergyandthewarriorclass
(thefirsttwoorders–seeTheme6)weremakingeffortstoensurepoliticalstabilityaswellaseconomic
growth based on agriculture and trade. The possibilities of military confrontation between competing
feudalprincipalitiesandareturntoeconomicorganisationbasedonplunderwerecontainedbythePeace
of God movement. All military violence was forbidden inside certain areas, near places of worship,
duringcertainperiodsconsideredsacredintheChurchscalendar,andagainstcertainvulnerablesocial
groups,suchaschurchmenandthecommonpeople.ThePeaceofGoddeflectedtheaggressivetendencies
offeudalsocietyawayfromtheChristianworldandtowardstheenemies’ofGod.Itbuiltaclimatein
whichfightingagainsttheinfidels(non-believers)becamenotonlypermissiblebutalsocommendable.
Aleppo,aHittite,AssyrianandHellenisticsite,whichwasoccupiedbytheArabsin636.Itwasfoughtoverforthenext1,000years;
notetheCrusadersseeninaction.
Nasuhal-Matraki’sItinerary,1534-36.
Thedeathin1092ofMalikShah,theSaljuqsultanofBaghdad,wasfollowedbythedisintegrationofhis
empire.ThisofferedtheByzantineemperor,AlexiusI,achancetoregainAsiaMinorandnorthernSyria.
ForPopeUrbanII,thiswasanopportunitytorevivethespiritofChristianity.In1095,thePopejoinedthe
ByzantineemperorincallingforawarinthenameofGodtol7iberatetheHolyLand.Between1095and
1291,westernEuropeanChristiansplannedandfoughtwarsagainstMuslimcitiesonthecoastalplainsof
theeasternMediterranean(Levant).ThesewarswerelaterdesignatedasCrusades*.
*ThePopeorderedtheceremonialgrantingofcrossestothosewhohadsworntofight.
In the first crusade (1098-99), soldiers from France and Italy captured Antioch in Syria, and claimed
Jerusalem.TheirvictorywasaccompaniedbytheslaughterofMuslimsandJewsinthecity,chronicled
by both Christians and Muslims. Muslim writers referred to the arrival of the Christians
(calledifrinjiorfirangi)asaFrankishinvasion.TheFranksquicklyestablishedfourcrusaderstatesinthe
regionofSyria-Palestine.Collectively,theseterritorieswereknownasOutremer(thelandoverseas)and
latercrusadesweredirectedatitsdefenceandexpansion.
TheOutremersurvivedwellforsometime,butwhentheTurkscapturedEdessain1144,anappealwas
madebythePopeforasecondcrusade(1145-49).AcombinedGermanandFrencharmymadeanattempt
tocaptureDamascusbut theyweredefeatedandforcedto returnhome. Afterthis,therewasagradual
erosion of the strength of Outremer. Crusader zeal gave way to living in luxury and to battles over
territoryamongtheChristianrulers.Salahal-Din(Saladin)createdanEgypto-Syrianempireand
gave the call for jihad or holy war against the Christians, and defeated them in 1187. He regained
Jerusalem, nearly a century after the first crusade. Records of the time indicate that Salah al-Dins
treatmentoftheChristianpopulationwashumane,inmarkedcontrasttothewayinwhichChristianshad
earlierdealtwithMuslimsandJews.AlthoughhegavecustodyoftheChurchoftheHolySepulchretothe
Christians,anumberofchurcheswereturnedintomosques,andJerusalemonceagainbecameaMuslim
city.
The loss of the city prompted a third crusade in 1189, but the crusaders gained little except for some
coastaltownsinPalestineandfreeaccesstoJerusalemforChristianpilgrims.TheMamluks,therulersof
Egypt,finallydrovethecrusadingChristiansfromallofPalestinein1291.Europegraduallylostmilitary
interestinIslamandfocusedonitsinternalpoliticalandculturaldevelopment.
The Crusades leftalasting impact on two aspects of Christian-Muslim relations. One wasthe harsher
attitudeoftheMuslimstatetowardsitsChristiansubjectswhichresultedfromthebittermemoriesofthe
conflict as well as the needs for security in areas of mixed populations. The other was the greater
influenceofItalianmercantilecommunities(fromPisa,GenoaandVenice)inthetradebetweentheEast
andtheWestevenaftertherestorationofMuslimpower.
FranksinSyria
ThetreatmentofthesubjugatedMuslimpopulationdifferedamongthevariousFrankishlords.Theearliestofthecrusaders,whosettled
downinSyriaandPalestine,weregenerallymoretolerantoftheMuslimpopulationthanthosewhocamelater.Inhismemoirs,Usama
ibnMunqidh,atwelfth-centurySyrianMuslim,hassomethinginterestingtosayabouthisnewneighbours:
‘Among the Franks there are some who have settled down in this country and associated with Muslims. These are better than the
newcomers,buttheyareexceptionstotherule,andnoinferencecanbedrawnfromthem.
ACrusadercastleinSyria.Builtduringthecrusades(1110),itwasanimportantbasetoattackArabcontrolledareas.The
towersandaqueductswerebuiltbytheMamluksultan,Baybars,whenhecaptureditin1271.
Hereisanexample.OnceIsentamantoAntiochonbusiness.Atthattime,ChiefTheodoreSophianos[aneasternChristian]wasthere,
andheandIwerefriends.HewasthenallpowerfulinAntioch.Onedayhesaidtomyman,‘OneofmyFrankishfriendshasinvited
me.Comewithmeandseehowtheylive.’Mymantoldme:SoIwentwithhim,andwecametothehouseofoneoftheoldknights,
those who had come with the first Frankish expedition. He had already retired from state and militaryservice, and had a property in
Antiochfromwhichhelived.Heproducedafinetable,withfoodbothtastyandcleanlyserved.HesawthatIwasreluctanttoeat,and
said:Eattoyourheart’scontent,forIdonoteatFrankishfood.IhaveEgyptianwomencooksandeatnothingbutwhattheyprepare,
nordoesswineflesheverentermyhouse.”SoIate,butwithsomecaution,andwetookourleave.
LaterIwaswalkingthroughthemarket,whensuddenlyaFrankishwomancaughtholdofmeandbeganjabberingintheirlanguage,andI
could not understand what she was saying. A crowd of Franks collected against me, and I was sure that my end had come. Then,
suddenly,thatsameknightappearedandsawme,andcameuptothatwoman,andaskedher:WhatdoyouwantofthisMuslim?”She
replied:HekilledmybrotherHurso.”ThisHursowasaknightofAfamiyawhohadbeenkilledbysomeonefromthearmyofHama.
Thentheknightshoutedatherandsaid,Thismanisaburjasi[bourgeois,thatis,amerchant].Hedoesnotfightorgotowar.”Andhe
shoutedatthecrowdandtheydispersed;thenhetookmyhandandwentaway.SotheeffectofthatmealthatIhadwastosaveme
fromdeath.”’
Kitabal-Itibar.
Economy:Agriculture,UrbanisationandCommerce
Agriculture wasthe principal occupation of the settled populationsin the newly conquered territories.
TheIslamicstatemadenochangesinthis.Landwasownedbybigandsmallpeasantsand,insomecases,
bythestate.InIraqandIran,landexistedinfairlylargeunitscultivatedbypeasants.Theestateowners
collected taxes on behalfof the state during the Sasanian as wellasIslamic periods.In areas thathad
moved from a pastoral to a settled agricultural system, land was the common property of the village.
Finally,bigestatesthatwereabandonedbytheirownersaftertheIslamicconquestswereacquiredbythe
state and handed over mainly to the Muslim elites of the empire, particularly members of the caliphs
family.
Thestatehadoverallcontrolofagriculturallands,derivingthebulkofitsincomefromlandrevenueonce
theconquestswereover.ThelandsconqueredbytheArabsthatremainedinthehandsoftheownerswere
subjecttoatax(kharaj),whichvariedfromhalftoafifthoftheproduce,accordingtotheconditionsof
cultivation. OnlandheldorcultivatedbyMuslims,thetax leviedwasone-tenth(ushr)of the produce.
Whennon-MuslimsstartedtoconverttoIslamtopaylowertaxes,thisreducedtheincomeofthestate.To
address the shortfall, the caliphs first discouraged conversions and later adopted a uniform policy of
taxation.Fromthetenthcenturyonwards,thestateauthoriseditsofficialstoclaimtheirsalaries
fromagriculturalrevenuesfromterritories,callediqtas(revenueassignments).
Agriculturalprosperitywenthandinhandwith politicalstability.Inmanyareas,especiallyintheNile
valley, the state supported irrigation systems, the construction of dams and canals, and the digging of
wells(oftenequippedwithwaterwheelsornoria),allofwhichwerecrucialforgoodharvests.Islamic
lawgavetaxconcessionstopeoplewhobroughtlandundercultivation.Throughpeasantinitiativesand
statesupport,cultivablelandexpandedandproductivityrose,evenintheabsenceofmajortechnological
changes.Manynewcropssuchascotton,oranges,bananas,watermelons,spinachandbrinjals(badinjan)
weregrownandevenexportedtoEurope.
Grainharvesting;thelabourers’lunchisbeingbroughtonatray.
ArabicversionofthePseudo-GalensBookofAntidotes,1199(seethestoryofDoctorGalen,p.63).
Islamiccivilisationflourishedasthenumberofcitiesgrewphenomenally.Manynewcitieswerefounded,
mainlyto settleArabsoldiers (jund)whoformedthebackbone ofthelocaladministration.Amongthis
classofgarrison-cities,calledmisr(theArabicnameforEgypt),wereKufaandBasrainIraq,andFustat
and Cairo in Egypt. Within half a century of its establishment as the capital of the Abbasid caliphate
(800),thepopulationofBaghdadhadreachedaround1million.Alongsidethesecitieswereoldertowns
suchasDamascus,IsfahanandSamarqand,whichreceivedanewleaseoflife.Theirsizeandpopulation
surged,supportedbyanexpansionintheproductionoffoodgrainsandrawmaterialssuchascottonand
sugarforurbanmanufactures.Avasturbannetworkdeveloped,linkingonetownwithanotherandforming
acircuit.
At the heart of the city were two building complexes radiating cultural and economic power: the
congregational mosque (masjid al-jami), big enough to be seen from a distance, and the central
marketplace(suq),withshopsinarow,merchants’lodgings(fanduq)andtheofficeofthemoney-changer.
Thecitieswerehomestoadministrators(ayanoreyesofthestate),andscholarsandmerchants(tujjar)
wholivedclosetothecentre.Ordinarycitizensandsoldiershadtheirlivingquartersintheoutercircle,
eachfittedwithitsownmosque,churchorsynagogue(Jewishtemple),subsidiarymarketandpublicbath
(hammam),animportantmeetingplace.Attheoutskirtswerethehousesoftheurbanpoor,amarketfor
green vegetablesandfruitsbroughtfrom thecountryside, caravan stationsand ‘unclean shops, suchas
thosedealingintanningorbutchering.Beyondthecitywallswereinnsforpeopletorestwhenthecity
gates wereshut and cemeteries.There werevariationson this typology depending on thenatureofthe
landscape,politicaltraditionsandhistoricalevents.
AboatsailingtoBasra.ThecrewareIndianandthepassengersArab.Thetransportofgoodsandpassengersbywaterwascheaper,
quickerandsaferinpre-moderntimes.IllustrationfromtheMaqamatwrittenbyHariri(twelfth-centurymanuscript).
TheMaqamat(Assemblies)wereagenreofpopularArabicliteratureinwhichanarratortellsstoriesofatricksterandhis
escapades.
Political unification and urban demand for foodstuffs and luxuries enlarged the circuit of exchange.
GeographyfavouredtheMuslimempire,whichspreadbetweenthetradingzonesoftheIndianOceanand
theMediterranean.Forfivecenturies,ArabandIraniantradersmonopolisedthemaritimetradebetween
China,IndiaandEurope.Thistradepassedthroughtwomajorroutes,namely,theRedSeaandthePersian
Gulf.High-valuegoodssuitableforlong-distancetrade,suchasspices,textile,porcelainandgunpowder,
wereshippedfromIndiaandChinatotheRedSeaportsofAdenandAydhabandtheGulfportsofSiraf
andBasra.
Fromhere,themerchandisewascarriedoverlandincamelcaravanstothewarehouses(makhazin,origin
ofthewordmagazinewhichhasasimilarcollectionofarticles)ofBaghdad,DamascusandAleppofor
local consumption or onward transmission. The caravans passing through Mecca got bigger whenever
thehajjcoincidedwiththesailingseasons(mawasim,originofthewordmonsoon)intheIndianOcean.
At the Mediterranean end of these trade routes, exports to Europe from the port of Alexandria were
handledbyJewishmerchants,someofwhomtradeddirectlywithIndia,ascanbeseenfromtheirletters
preserved in the Geniza collection. However, from the tenth century, the Red Sea route gained greater
importanceduetotheriseofCairoasacentreofcommerceandpowerandgrowingdemandforeastern
goodsfromthetradingcitiesofItaly.
Activity2
DescribeamorningsceneinBasra.
Paper,GenizaRecordsandHistory
In thecentral Islamiclands,writtenworkswerewidely circulatedafterthe introductionofpaper. Paper(madefromlinen)camefrom
China,wherethemanufacturingprocesswasacloselyguardedsecret.In751,theMuslimgovernorofSamarqandtook20,000Chinese
invadersasprisoners,someofwhomweregoodatmakingpaper.Forthenext100years,Samarqandpaperremainedanimportantexport
item.SinceIslam prohibited monopolies, paperbegan to be manufactured intherestof the Islamicworld. Bythemiddle ofthetenth
century,ithadmoreorlessreplacedpapyrus,thewritingmaterialmadefromtheinnerstemofaplantthatgrewfreelyintheNilevalley.
Demandforpaperincreased,andAbdal-Latif,adoctorfromBaghdad(seehisdepictionoftheidealstudentonp.98)andaresidentof
Egyptbetween1193and1207,reportedhowEgyptianpeasantsrobbedgravestoobtainmummywrappingsmadeoflinentoselltopaper
factories.
Paper also facilitated the writing of commercial and personal documents of all kinds. In 1896, a huge collection of medieval Jewish
documents wasdiscoveredin a sealed room (Geniza, pronouncedghaniza) ofthe Ben Ezrasynagogue inFustat. The documents had
beenpreserved thankstotheJewish practice ofnotdestroyingany pieceof writingthatcontainedthenameof God.TheGenizawas
foundtocontainoveraquarterofamillionmanuscriptsandfragmentsdatingbackasfarasthemid-eighthcentury.Mostofthematerial
datedfrom thetenthtothethirteenth centuries, that is, from theFatimid,AyyubidandearlyMamluk periods. Theseincludedpersonal
lettersbetweenmerchants,familyandfriends,contracts,promisesofdowry,saledocuments,laundrylists,andothertrivia.Mostofthe
documents were written in Judaeo-Arabic, a version of Arabic written in Hebrew characters that was commonly used by Jewish
communitiesthroughoutthemedievalMediterranean.TheGenizadocumentsproviderichinsightsintopersonalandeconomicexperiences
as also into Mediterranean and Islamic culture. The documents also suggest that the business skills and commercial techniques of
merchantsofthemedievalIslamicworldweremoreadvancedthanthoseoftheirEuropeancounterparts.Goiteinwroteamulti-volume
historyoftheMediterraneanfromGenizarecords,andAmitavGhoshwasinspiredbyaGenizalettertotellthestoryofanIndianslavein
hisbook,InanAntiqueLand.
Towards the eastern end, caravans of Iranian merchants set out from Baghdad along the Silk Route to
China,viatheoasiscitiesofBukharaandSamarqand(Transoxiana),tobringCentralAsianandChinese
goods, including paper. Transoxiana also formed an important link in the commercial network which
extendednorthtoRussiaandScandinaviafortheexchangeofEuropeangoods,(mainlyfur)andSlavic
captives (hence the word, slave). Islamic coins, used for the payment of these goods, were found in
hoards discovered along the Volga river and in the Baltic region. Male and female Turkish slaves
(ghulam)toowerepurchasedinthesemarketsforthecourtsofthecaliphsandsultans.
Thefiscalsystem(incomeandexpenditureofthestate)andmarketexchangeincreasedtheimportanceof
moneyinthecentralIslamiclands.Coinsofgold,silverandcopper(fulus)weremintedandcirculated,
ofteninbagssealedbymoney-changers,topayforgoodsandservices.GoldcamefromAfrica(Sudan)
and silver from Central Asia (Zarafshan valley). Precious metals and coins also came from Europe,
whichused thesetopayforitstradewiththeEast.Risingdemandformoney forcedpeopletorelease
theiraccumulatedreservesandidlewealth intocirculation.Creditcombinedwithcurrenciesto oilthe
wheelsofcommerce.ThegreatestcontributionoftheMuslimworldtomedievaleconomiclifewasthe
developmentofsuperiormethodsofpaymentandbusinessorganisation.Lettersofcredit(sakk,originof
thewordcheque)andbillsofexchange(suftaja)wereusedbymerchantsandbankerstotransfermoney
fromoneplaceorindividualtoanother.Thewidespreaduseofcommercialpapersfreedmerchantsfrom
theneedtocarrycasheverywhereandalsomadetheirjourneyssafer.Thecaliphtoousedthesakktopay
salariesorrewardpoetsandminstrels.
Althoughitwascustomaryformerchantstosetupfamilybusinessesoremployslavestoruntheiraffairs,
formalbusinessarrangements(muzarba)werealsocommoninwhichsleepingpartnersentrustedcapital
totravellingmerchantsandsharedprofitsandlossesinanagreedproportion.Islamdidnotstoppeople
from making money so long as certain prohibitions were respected. For instance, interest-bearing
transactions(riba)wereunlawful,althoughpeoplecircumventedusuryiningeniousways(hiyal),suchas
borrowingmoneyinonetypeofcoinandpayinginanotherwhiledisguisingtheinterestasacommission
oncurrencyexchange(theoriginofthebillofexchange).
ManytalesfromtheThousandandOneNights(AlfLaylawaLayla)giveusapictureofmedievalIslamic
society,featuringcharacterssuchassailors,slaves,merchantsandmoney-changers.
LearningandCulture
AsthereligiousandsocialexperiencesoftheMuslimsdeepenedthroughcontactwithotherpeople,the
community was obliged toreflect on itself and confront issues pertaining toGod and the world. What
shouldbetheidealconductofaMusliminpublicandprivate?WhatistheobjectofCreationandhow
does one know what God wants from His creatures? How can one understand the mysteries of the
universe?AnswerstosuchquestionscamefromlearnedMuslimswhoacquiredandorganisedknowledge
ofdifferentkindstostrengthenthesocialidentityofthecommunityaswellastosatisfytheirintellectual
curiosity.
Forreligiousscholars(ulama),knowledge(ilm)derivedfromtheQuranandthemodelbehaviourofthe
Prophet(sunna)wastheonlywaytoknowthewillofGodandprovideguidanceinthisworld.Theulama
inmedievaltimesdevoted themselves to writing tafsir and documenting Muhammad’sauthentic hadith.
Some went on to prepare a body of laws or sharia (the straight path) to govern the relationship of
Muslims with God through rituals (ibadat) and with the rest of the humanity through social affairs
(muamalat).InframingIslamiclaw,juristsalsomadeuseofreasoning(qiyas)sincenoteverythingwas
apparentintheQuranorhadithandlifehadbecomeincreasinglycomplexwithurbanisation.Differences
intheinterpretationofthesourcesandmethodsofjurisprudenceledtotheformationoffourschoolsof
law(mazhab)intheeightandninthcenturies.TheseweretheMaliki,Hanafi,ShafiiandHanbalischools,
each named after a leading jurist (faqih), the last being the most conservative. The sharia provided
guidanceon all possible legal issueswithin Sunni society, though it was more precise on questions of
personal status (marriage, divorce and inheritance) than on commercial matters or penal and
constitutionalissues.
CourtyardofMustansiriyaMadrasaofBaghdad,foundedin1233.Themadrasawasacollegeoflearningforstudentswhohad
finishedtheirschoolinginmaktab.Madrasaswereattachedtomosquesbutbigmadrasashadamosqueattachedtothem.
TheQuran
‘Andifallthetreesonearthwerepensandtheoceanwereink
withsevenoceansbehindittoaddtoitssupply,
yetwouldnotthewordsofAllahbeexhaustedinthewriting.’
(Quran,chapter31,verse27)
TheQuranisabookinArabicdividedinto114chapters(suras)andarrangedindescendingorderoflength,theshortestbeingthelast.
Theonlyexceptiontothisisthefirstsurawhichisashortprayer(al-fatihaoropening).AccordingtoMuslimtradition,theQuranisa
collectionofmessages(revelations)whichGodsenttotheProphetMuhammadbetween610and632,firstinMeccaandtheninMedina.
Thetaskofcompilingtheserevelationswascompletedsometimein650.TheoldestcompleteQuranwehavetodaydatesfromtheninth
century.Therearemanyfragmentswhichareolder,theearliestbeingtheversesengravedontheDomeoftheRockandoncoinsinthe
seventhcentury.
TheuseoftheQuranasasourcematerialforthehistoryofearlyIslamhasposedsomeproblems.Thefirstisthatitisascripture,atext
vestedwithreligiousauthority.TheologiansgenerallybelievedthatasthespeechofGod(kalamallah),ithastobeunderstoodliterally,but
rationalistsamongthemgavewiderinterpretationstotheQuran.In833,theAbbasidcaliphal-Mamunimposedtheview(inatrialoffaith
ormihna)thattheQuranisGodscreationratherthanHisspeech.ThesecondproblemisthattheQuranveryoftenspeaksinmetaphors
and,unliketheOldTestament(Tawrit),itdoesnotnarrateeventsbutonlyreferstothem.MedievalIslamicscholarsthushadtomake
senseofmanyverseswiththehelpofhadith.ManyhadithwerewrittentohelpthereadingoftheQuran.
PagefromaQuranwrittenonvellumintheninthcentury.ItisthebeginningofSura18,‘al-Kahf(TheCave)whichrefersto
Moses,theSevenSleepersofEphesusandAlexander(ZulqarNayn).TheangularKufiscripthasvowelsignsinredforthe
correctpronunciationofthelanguage.
Beforeittookitsfinalform,theshariawasadjustedtotakeintoaccountthecustomarylaws(urf)ofthe
variousregionsaswellasthelawsofthestateonpoliticalandsocialorder(siyasasharia).Customary
laws,however,retainedtheirstrengthinlargepartsofthecountrysideandcontinuedtobypassthesharia
inmatterssuch as theinheritanceof landbydaughters. Inmost regimes,the ruler or hisofficialsdealt
routinelywithmattersofstatesecurityandsentonlyselectedcasestotheqazi(judge).
A group of religious-minded people in medieval Islam, known as Sufis, sought a deeper and more
personalknowledgeofGodthroughasceticism(rahbaniya)andmysticism.Themoresocietygaveitself
uptomaterialpursuitsandpleasures,themoretheSufissoughttorenouncetheworld(zuhd)andrelyon
Godalone(tawakkul).Intheeighthandninthcenturies,asceticinclinationswereelevatedtothehigher
stageofmysticism (tasawwuf)bytheideasofpantheismandlove.Pantheism istheideaof onenessof
GodandHiscreationwhichimpliesthatthehumansoulmustbeunitedwithitsMaker.UnitywithGod
canbeachievedthroughanintenseloveforGod(ishq),whichthewoman-saintRabiaofBasra(d.891)
preachedinherpoems.BayazidBistami(d.874),anIranianSufi,wasthefirsttoteachtheimportanceof
submerging theself (fana) in God. Sufis usedmusical concerts (sama) to induce ecstasy and stimulate
emotionsofloveandpassion.
Sufismisopentoallregardlessofreligiousaffiliation,statusandgender.DhulnunMisri(d.861),whose
gravecanstillbeseennearthePyramidsinEgypt,declaredbeforetheAbbasidcaliph,al-Mutawakkil,
thathelearnttrueIslamfromanoldwoman,andtruechivalryfromawatercarrier.Bymakingreligion
morepersonalandlessinstitutional,SufismgainedpopularityandposedachallengetoorthodoxIslam.
An alternative vision of God and the universe was developed by Islamic philosophers and scientists
undertheinfluenceofGreekphilosophyandscience.Duringtheseventhcentury,remnantsoflateGreek
culturecouldstillbefoundintheByzantineandSasanianempires,althoughtheywereslowlydying.Inthe
schools of Alexandria, Syria and Mesopotamia, once part of Alexanders empire, Greek philosophy,
mathematics and medicine were taught along with other subjects. The Umayyad and Abbasid caliphs
commissionedthetranslationof GreekandSyriacbooksintoArabicbyChristian scholars.Translation
became a well-organisedactivityunderal-Mamun, whosupportedtheLibrary cumInstituteof Science
(Baytal-Hikma)inBaghdadwherethescholarsworked.TheworksofAristotle,theElementsofEuclid
and Ptolemys Almagest were brought to the attention of Arabic-reading scholars. Indian works on
astronomy, mathematics and medicine were also translated into Arabic during the same period. These
worksreachedEuropeandkindledinterestinphilosophyandscience.
Paintingofwhirlingdervishes,Iranianmanuscript,1490.Ofthefourmendancing,onlyoneisshownwithhishandsinthe‘correct’
position.Somehavesuccumbedtovertigoandarebeingledaway.
TheIdealStudent
Abdal-Latif,atwelfth-centurylegalandmedicalscholarofBaghdad,talkstohisidealstudent:
‘Icommendyounottolearnyoursciencesfrombooksunaided,eventhoughyoumaytrustyourabilitytounderstand.Resorttoteachers
foreachscienceyouseektoacquire;andshouldyourteacherbelimitedinhisknowledgetakeallthathecanoffer,untilyoufindanother
more accomplished than he. You must venerate and respect him. When you read a book, make every effort tolearn it by heart and
master its meaning. Imagine thebook to have disappeared andthat you can dispense with it, unaffectedby its loss. One shouldread
histories, study biographies and the experiences of nations. By doing this, it will be as though, in his short life space, he lived
contemporaneously with peoples of thepast, was on intimate terms with them, and knew the good andbad amongthem. You should
modelyourconductonthatoftheearlyMuslims.Therefore,readthebiographyoftheProphetandfollowinhisfootsteps.Youshould
frequently distrust your nature, rather than have a good opinion of it, submitting your thoughts to men of learning and their works,
proceedingwithcautionandavoidinghaste.Hewhohasnotenduredthestressofstudywillnottastethejoyofknowledge.Whenyou
havefinishedyourstudyandreflection,occupyyourtonguewiththementionofGodsname,andsingHispraises.Donotcomplainifthe
worldturnsitsbackonyou.Knowthatlearningleavesatrailandascentproclaimingitspossessor;arayoflightandbrightnessshining
onhim,pointinghimout.’
AhmadibnalQasimibnAbiUsaybia,UyunalAnba.
Activity3
Commentonthispassage.Woulditberelevanttoastudenttoday?
ThestudyofnewsubjectspromotedcriticalinquiryandhadaprofoundinfluenceonIslamicintellectual
life.Scholarswithatheologicalbentofmind,suchasthegroupknownasMutazila,usedGreeklogicand
methodsof reasoning (kalam) to defend Islamic beliefs. Philosophers (falasifa) posed wider questions
and provided fresh answers. Ibn Sina (980-1037), a doctor by profession and a philosopher, did not
believeintheresurrectionofthebodyontheDayofJudgement.Thiswasmetwithstrongoppositionfrom
theologians.Hismedicalwritingswerewidelyread.Themostinfluentialwasal-QanunfilTibb(Canon
of Medicine), a million-word manuscript that lists 760 drugs sold by the pharmacists of his day and
includes notes on his own experiments conducted in hospitals (bimaristan). The Canon points out the
importanceofdietetics(healingthroughdietaryregulation),theinfluenceoftheclimateandenvironment
onhealthandthecontagiousnatureofsomediseases.TheCanonwasusedasatextbookinEurope,where
the author was known as Avicenna (see Theme 7). Just before his death, the scientist and poet Umar
Khayyam was said to be reading the Canon. His gold toothpick was found between two pages of the
chapteronmetaphysics.
InmedievalIslamicsocieties,finelanguageandacreativeimaginationwereamongthemostappreciated
qualitiesinaperson.Thesequalitiesraisedapersonscommunicationtothelevelofadab,atermwhich
implied literary and cultural refinement. Adab forms of expressions included poetry (nazm or orderly
arrangement)andprose(nathrorscatteredwords)whichweremeanttobememorisedandusedwhenthe
occasion arose. The most popular poetic composition of pre-Islamic origin was the ode (qasida),
developedbypoetsoftheAbbasidperiodtoglorifytheachievementsoftheirpatrons.PoetsofPersian
originrevitalisedandreinventedArabicpoetryandchallengedtheculturalhegemonyoftheArabs.Abu
Nuwas (d.815),who was of Persian origin, broke new groundbycomposing classical poetry on new
themessuchaswineandmalelovewiththeintentionofcelebratingpleasuresforbiddenbyIslam.After
Abu Nuwas, the poets addressed the object of their passion in the masculine, even if the latter was a
woman.Followingthesametradition,theSufisglorifiedtheintoxicationcausedbythewineofmystical
love.
BythetimetheArabsconqueredIran,Pahlavi,thelanguageofthesacredbooksofancientIran,wasin
decay.AversionofPahlavi,knownasNewPersian,withahugeArabicvocabulary,soondeveloped.The
formation of sultanates in Khurasan and Transoxiana took New Persian to great cultural heights. The
Samanid court poet Rudaki(d.940) was considered thefatherof NewPersian poetry,which included
newformssuchastheshortlyricalpoem(ghazal)andthequatrain(rubai,pluralrubaiyyat).Therubaiisa
four-linestanzainwhichthefirsttwolinessetthestage,thethirdisfinelypoised,andthefourthdelivers
thepoint.Incontrasttoitsform,thesubjectmatteroftherubaiisunrestricted.Itcanbeusedtoexpress
thebeautyofabeloved,praiseapatron,orexpressthethoughtsofthephilosopher.Therubaireachedits
zenithinthehandsofUmarKhayyam(1048-1131),alsoanastronomerandmathematician,wholivedat
varioustimesinBukhara,SamarqandandIsfahan.
Dimnaistalkingtothelion(asad)inthisminiaturepaintingofathirteenth-centuryArabicmanuscript.
Atthebeginning of the eleventh century, Ghazni became thecentre of Persian literary life. Poetswere
naturally attracted by the brilliance of the imperial court. Rulers, too, realised the importance of
patronisingartsandlearningforenhancingtheirprestige.MahmudofGhaznigatheredaroundhimagroup
of poets who composed anthologies (diwans) and epic poetry (mathnavi). The most outstanding was
Firdausi (d. 1020), who took 30 years to complete the Shahnama (Book of Kings), an epic of 50,000
coupletswhichhasbecomeamasterpieceofIslamicliterature.TheShahnamaisacollectionoftraditions
andlegends(themostpopularbeingthatofRustam),whichpoeticallydepictsIranfromCreationupuntil
theArabconquest.ItwasinkeepingwiththeGhaznavidtraditionthatPersianlaterbecamethelanguage
ofadministrationandcultureinIndia.
Thecatalogue(Kitabal-Fihrist)ofaBaghdadbookseller,IbnNadim(d.895),describesalargenumber
of works written in prose for the moral education and amusement of readers. The oldest of these is a
collectionofanimalfablescalledKalilawaDimna(thenamesofthetwojackalswhoweretheleading
characters)whichistheArabictranslationofaPahlaviversionofthePanchtantra.Themostwidespread
and lasting literary works are the stories of hero-adventurers such as Alexander (al-Iskandar) and
Sindbad, or those of unhappy lovers such as Qays (known as Majnun or the Madman). These have
developed overthe centuries intooraland writtentraditions.The Thousand andOneNights is another
collectionofstoriestoldbyasinglenarrator,Shahrzad,toherhusbandnightafternight.Thecollection
was originally in Indo-Persian and was translated into Arabic in Baghdad in the eighth century. More
stories were later added in Cairo during the Mamluk period. These stories depict human beings of
differenttypes–thegenerous,thestupid,thegullible,thecrafty–andweretoldtoeducateandentertain.
In his Kitabal-Bukhala(Book of Misers), Jahiz of Basra (d. 868) collected amusing anecdotes about
misersandalsoanalysedgreed.
From the ninth century onwards, the scope of adab was expanded to include biographies, manuals of
ethics(akhlaq),MirrorsforPrinces(booksonstatecraft)and,aboveall,history(tarikh)andgeography.
The tradition of history writing waswellestablishedin literateMuslim societies. History bookswere
readbyscholarsandstudentsaswellasbythebroaderliteratepublic.Forrulersandofficials,history
provided a good record of the glories and achievements of a dynasty as well as examples of the
techniques of administration. In the two major historical works, Ansab al-Ashraf (Genealogies of the
Nobles)ofBaladhuri(d.892)andTarikhal-RusulwalMuluk(HistoryofProphetsandKings)ofTabari,
thewholeofhumanhistorywastreatedwiththeIslamicperiodasthefocalpoint.Thetraditionoflocal
history writing developed with the break-up of the caliphate. Books were written in Persian about
dynasties,citiesorregionstoexploretheunityandvarietyoftheworldofIslam.
Mosaicfloorinthebath-houseofthepalaceatKhirbatal-Mafjar,Palestine,eighthcentury.Imaginethecaliphenthronedonthe
tree;thescenebelowdepictspeaceandwar.
Geography and travel (rihla) constituted a special branch of adab. These combined knowledge from
Greek, Iranian and Indian books with the observations of merchants and travellers. In mathematical
geography,theinhabitedworldwasdividedintosevenclimes(singulariqlim)parallelwiththeEquator,
corresponding to our three continents. The exact position of each city was determined astronomically.
Muqaddasis(d.1000)descriptivegeography,Ahsanal-Taqasim(TheBestDivisions)isacomparative
studyofthecountriesan7dpeoplesoftheworldandatreasuretroveofexoticcuriosities.Geographyand
general history were combined in Murujal-Dhahab (GoldenMeadows) of Masudi (written in 943) to
illustratethewidevarietyofworldlycultures.AlberunisfamousTahqiqmalil-Hind(Historyof India)
was the greatest attempt by an eleventh-century Muslim writer to look beyond the world of Islam and
observewhatwasofvalueinanotherculturaltradition.
By the tenth century, an Islamic world had emerged which was easily recognisable by travellers.
Religiousbuildingswerethegreatestexternalsymbolsofthisworld.Mosques,shrinesandtombsfrom
SpaintoCentralAsiashowedthesamebasicdesign–arches,domes,minaretsandopencourtyards–and
expressedthespiritualandpracticalneedsofMuslims.InthefirstIslamiccentury,themosqueacquireda
distinctarchitecturalform(roofsupportedbypillars)whichtranscendedregionalvariations.Themosque
hadanopencourtyard(sahn)whereafountainorpondwasplaced,leadingtoavaultedhallwhichcould
accommodate long lines of worshippers and the prayer leader (imam). Two special features were
locatedinsidethehall:aniche(mihrab)inthewallindicatingthedirectionofMecca(qibla),andapulpit
(minbar, pronounced mimbar) from where sermons were delivered during noon prayers on Friday.
Attachedtothebuildingwastheminaret,atowerusedtocallthefaithfultoprayerattheappointedtimes
andtosymbolisethepresenceofthenewfaith.Timewasmarkedincitiesandvillagesbythefivedaily
prayersandweeklysermons.
Thesamepattern ofconstruction–ofbuildingsbuiltaroundacentralcourtyard(iwan) –appeared not
onlyinmosquesandmausoleumsbutalsoincaravanserais,hospitalsandpalaces.The Umayyadsbuilt
‘desert palaces’ in oases, such as Khirbat al-Mafjar in Palestine and Qusayr Amra in Jordan, which
servedas luxurious residencesand retreatsforhuntingandpleasure.Thepalaces,modelledon Roman
andSasanianarchitecture,werelavishlydecoratedwithsculptures,mosaicsandpaintingsofpeople.The
AbbasidsbuiltanewimperialcityinSamarraamidstgardensandrunningwaterswhichismentionedin
the stories and legends revolving round Harun al-Rashid. The great palaces of the Abbasid caliphs in
BaghdadortheFatimidsinCairohavedisappeared,leavingonlytracesinliterarytexts.
TheIslamicdecorativegeniusfoundfullexpressionintheartofmetalobjectsthatareamongthebest-preservedspecimens.This
mosquelampfromfourteenth-centurySyriahastheLightverseinscribedonit.‘GodistheLight(nur)oftheheavensandthe
earthHislightislikeaniche(mishkat)withalamp(misbah)ThelampisinaglasswhichlooksasifitwereaglitteringstarKindled
fromablessedolive(zaitun)treethatisneithereasternnorwesternWhoseoilwouldalwaysshineevenifnofire(nar)touched
it’(Quran,chapter24,verse35).
The rejection of representing living beings in the religious art of Islam promoted two art forms:
calligraphy(khattatiortheartofbeautifulwriting)andarabesque(geometricandvegetaldesigns).Small
andbiginscriptions,usuallyofreligiousquotations,wereusedtodecoratearchitecture.Calligraphicart
hasbeenbestpreservedinmanuscriptsoftheQurandatingfromtheeighthandninthcenturies.Literary
works, such asthe Kitabal-Aghani(Book of Songs),Kalila wa Dimna, and Maqamat of Hariri, were
illustrated with miniature paintings. In addition, a wide variety of illumination techniques were
introducedtoenhancethebeautyofabook.Plantandfloraldesigns,basedontheideaofthegarden,were
usedinbuildingsandbookillustrations.
The history of the central Islamic lands brings together three important aspects of human civilisation:
religion,communityandpolitics.Wecanseethemasthreecircleswhichmergeandappearasoneinthe
seventh century. In the next five centuries the circles separate. Towards the end of our period, the
influenceofIslamoverstateandgovernmentwasminimal,andpoliticsinvolvedmanythingswhichhad
nosanctioninreligion(kingship,civilwars,etc.).Thecirclesofreligionandcommunityoverlapped.The
Muslimcommunitywasunitedinitsobservanceoftheshariainritualsandpersonalmatters.Itwasno
moregoverningitself(polticswasaseparatecircle)butitwasdefiningitsreligiousidentity.Theonly
way the circles of religion and community could have separated was through the progressive
secularisation of Muslim society. Philosophers and Sufis advocated this, suggesting that civil society
shouldbemadeautonomous,andritualsbereplacedbyprivatespirituality.
Activity4
Whichofthepicturesinthechapterdoyoulikebestandwhy?
Exercises
Answerinbrief
1.WhatwerethefeaturesofthelivesoftheBedouinsintheearlyseventhcentury?
2.Whatismeantbytheterm‘Abbasidrevolution?
3.GiveexamplesofthecosmopolitancharacterofthestatessetupbyArabs,IraniansandTurks.
4.WhatweretheeffectsoftheCrusadesonEuropeandAsia?
Answerinashortessay
5.HowwereIslamicarchitecturalformsdifferentfromthoseoftheRomanEmpire?
6.DescribeajourneyfromSamarqandtoDamascus,referringtothecitiesontheroute.
Theme5
NOMADICEMPIRES
The term noma1dic empires’ can appear contradictory: nomads are arguably quintessential
wanderers, organised in family assemblies with a relatively undifferentiated economic life and
rudimentarysystemsofpoliticalorganisation.Theterm‘empire’,ontheotherhand,carrieswithitthe
senseofamateriallocation,astabilityderivedfromcomplexsocialandeconomicstructuresandthe
governanceofanextensiveterritorialdominionthroughanelaborateadministrativesystem.Butthe
juxtapositionsonwhichthesedefinitionsareframedmaybetoonarrowlyandahistoricallyconceived.
Theycertainlycollapsewhenwestudysomeimperialformationsconstructedbynomadicgroups.
InTheme4westudiedstateformationsinthecentralIslamiclandswhoseoriginslayintheBedouin
nomadic traditions of the Arabian peninsula. This chapter studies a different group of nomads: the
MongolsofCentralAsiawhoestablishedatranscontinentalempireundertheleadershipofGenghis
Khan, straddling Europe and Asia during the thirteenth and fourteenth centuries. Relative to the
agrarian-based imperial formations in China, the neighbouring nomads of Mongolia may have
inhabited a humbler, less complex, social and economic world. But the Central Asian nomadic
societies were not insulated ‘islands that were impervious to historical change. These societies
interacted,hadanimpactonandlearntfromthelargerworldofwhichtheywereverymuchapart.
ThischapterstudiesthemannerinwhichtheMongolsunderGenghisKhanadaptedtheirtraditional
social and political customs to create a fearsome military machine and a sophisticated method of
governance. The challenge of ru7ling a dominion spanning a melange of people, economies, and
confessional systems meant that the Mongols could not simply impose their steppe traditions over
theirrecentlyannexedterritories.Theyinnovatedandcompromised,creatinganomadicempirethat
hadahugeimpactonthehistoryofEurasiaevenasitchangedthecharacterandcompositionoftheir
ownsocietyforever.
Thesteppedwellersthemselvesusuallyproducednoliterature,soourknowledgeofnomadicsocieties
comes mainly from chronicles, travelogues and documents produced by city-based litterateurs. These
authorsoftenproducedextremelyignorantandbiasedreportsofnomadiclife.Theimperialsuccessofthe
Mongols, however, attracted many literati. Some of them produced travelogues of their experiences;
othersstayedtoserveMongolmasters.Theseindividualscamefromavarietyofbackgrounds–Buddhist,
Confucian,Christian,TurkishandMuslim.AlthoughnotalwaysfamiliarwithMongolcustoms,manyof
them produced sympathetic accounts – even eulogies – that challenged and complicated the otherwise
hostile,city-basedtiradeagainstthesteppemarauders.ThehistoryoftheMongols,therefore,provides
interestingdetails to question themannerinwhichsedentarysocietiesusually characterisednomads as
primitivebarbarians*.
Perhaps the most valuable research on the Mongols was done by Russian scholars starting in the
eighteenthandnineteenthcenturiesastheTsaristregimeconsolidateditscontroloverCentralAsia.This
work was produced within a colonial milieu and was largely survey notes produced by travellers,
soldiers, merchants and antiquarian scholars. In the early twentieth century, after the extension of the
sovietrepublicsintheregion,anewMarxisthistoriographyarguedthattheprevalentmodeofproduction
determinedthenatureofsocialrelations.ItplacedGenghisKhanandtheemergingMongolempirewithin
ascaleofhumanevolutionthatwaswitnessingatransitionfromatribaltoafeudalmodeofproduction:
fromarelativelyclasslesssocietytoonewheretherewerewidedifferencesbetweenthelord,theowners
of land and the peasant. Despite following such a deterministic interpretation of history, excellent
research on Mongol languages, their society and culture was carried out by scholars such as Boris
YakovlevichVladimirtsov.OtherssuchasVasilyVladimirovichBartolddidnotquitetoetheofficialline.
AtatimewhentheStalinistregimewasextremelywaryofregionalnationalism,Bartold’ssympathetic
and positive assessment of the career and achievements of the Mongols under Genghis Khan and his
successorsgothimintotroublewiththecensors.Itseverelycurtailedthecirculationoftheworkofthe
scholaranditwasonlyinthe1960s,duringandafterthemoreliberalKhruschevera,thathiswritings
werepublishedinninevolumes.
The transcontinental span of the Mongol empire also meant that the sources available to scholars are
writteninavastnumberoflanguages.PerhapsthemostcrucialarethesourcesinChinese,Mongolian,
PersianandArabic,butvitalmaterialsarealsoavailableinItalian,Latin,FrenchandRussian.
Oftenthesametextwasproducedintwolanguageswithdifferingcontents.Forexample,theMongolian
and Chinese versionsof theearliest narrative on Genghis Khan,titled Mongqol-un niuèatobèa’an The
Secret History of the Mongols are quite different and the Italian and Latin versions of Marco Polo’s
travelstotheMongolcourtdonotmatch.SincetheMongolsproducedlittleliteratureontheirownand
wereinsteadwrittenabout’byliteratifromforeignculturalmilieus,historianshavetooftendoubleas
philologists to pick out the meanings of phrases for their closest approximation to Mongol usage. The
workofscholarslikeIgordeRachewiltzonTheSecretHistoryoftheMongolsandGerhardDoerferon
Mongol and Turkic terminologies that infiltrated into the Persian language brings out the difficulties
involvedinstudyingthehistoryoftheCentralAsiannomads.Aswewillnoticethroughtheremainderof
this chapter, despite their incredible achievements there is much about Genghis Khan and the Mongol
worldempirestillawaitingthediligentscholarsscrutiny.
*The term ‘barbarian is derived from the Greek barbaros which meant a non-Greek, someone whose language sounded like a
random noise: ‘bar-bar’. In Greek texts, barbarians were depicted like children, unable to speak or reason properly, cowardly,
effeminate, luxurious,cruel, slothful,greedyand politically unableto governthemselves.Thesterotypepassed totheRomanswho
usedthetermfortheGermanictribes,theGaulsandtheHuns.TheChinesehaddifferenttermsforthesteppebarbariansbutnoneof
themcarriedapositivemeaning.
Map1:TheMongolEmpire
Introduction
Intheearlydecadesofthe thirteenthcenturythegreatempiresoftheEuro-Asiancontinentrealisedthe
dangersposedtothem bythearrivalof anewpoliticalpowerinthesteppesofCentralAsia:Genghis
Khan(d.1227)hadunitedtheMongolpeople.GenghisKhanspoliticalvision,however,wentfarbeyond
thecreationofaconfederacyofMongol
tribesinthesteppesofCentralAsia:hehadamandatefromGodtoruletheworld.Eventhoughhisown
lifetimewasspentconsolidating hisholdovertheMongoltribes,leading anddirecting campaigns into
adjoining areas in north China, Transoxiana, Afghanistan, eastern Iran and the Russian steppes, his
descendants travelled further afield to fulfil Genghis Khans vision and create the largest empire the
worldhadeverseen.
ItwasinthespiritofGenghisKhansidealsthathisgrandsonMongke(1251-60)warnedtheFrenchruler,
LouisIX(1226-70):InHeaventhereisonlyoneEternalSky,onEarththereisonlyoneLord,Genghis
Khan,theSonofHeaven…WhenbythepoweroftheEternalHeaventhewholeworldfromtherisingof
thesuntoitssettingshallbeatoneinjoyandpeace,thenitwillbemadeclearwhatwearegoingtodo:
if when you have understoodthedecree of theEternal Heaven, you are unwilling to pay attention and
believe it, saying, “Our country is far away, our mountains are mighty, our sea is vast”, and in this
confidenceyoubringanarmyagainstus,weknowwhatwecando.Hewhomadeeasywhatwasdifficult
andnearwhatwasfaroff,theEternalHeavenknows.’
Thesewere not empty threats and the 1236-41 campaigns of Batu, another grandson of Genghis Khan,
devastatedRussianlandsuptoMoscow,seizedPolandandHungaryandcampedoutsideVienna.Inthe
thirteenthcenturyitdidseemthattheEternalSkywasonthesideoftheMongolsandmanypartsofChina,
theMiddleEastandEuropesawinGenghisKhansconquestsoftheinhabitedworldthewrathofGod’,
thebeginningoftheDayofJudgement.
TheCaptureofBukhara
Juwaini,alate-thirteenth-centuryPersianchronicleroftheMongolrulersofIran,carriedanaccountofthecaptureofBukharain1220.
Aftertheconquestofthecity,Juwainireported,GenghisKhanwenttothefestivalgroundwheretherichresidentsofthecitywereand
addressedthem:‘Opeopleknowthatyouhavecommittedgreatsins,andthatthegreatonesamongyouhavecommittedthesesins.If
youaskmewhatproofIhaveforthesewords,IsayitisbecauseIamthepunishmentofGod.Ifyouhadnotcommittedgreatsins,God
wouldnot have sent a punishment like me uponyou’…Now oneman had escaped from Bukharaafterits capture andhad come to
Khurasan.He was questioned about the fate ofthe city and replied: ‘They came, they [mined the walls], they burnt, they slew, they
plunderedandtheydeparted.’
Activity1
AssumethatJuwainisaccountofthecaptureofBukharaisaccurate.Imagineyourself
asaresidentofBukharaandKhurasanwhoheardthespeeches.Whatimpactwould
theyhavehadonyou?
HowdidtheMongolscreateanempirethatdwarfedtheachievementsoftheotherWorldConqueror,
Alexander?Inapre-industrialageofpoortechnologicalcommunications,whatskillsweredeployedby
theMongolstoadministerandcontrolsuchavastdominion?Forsomeonesoself-confidentlyawareof
his moral, divinely-dispensed right to rule, how did Genghis Khan relate to the diverse social and
religious groups that comprised his dominion? In the making of his imperium what happened to this
plurality?Weneedtostartourdiscussion,however,withahumblersetofquestionstobettercomprehend
thesocialandpoliticalbackgroundoftheMongolsandGenghisKhan:whoweretheMongols?Where
didtheylive?Whodidtheyinteractwithandhowdoweknowabouttheirsocietyandpolitics?
SocialandPoliticalBackground
TheMongolswereadiversebodyofpeople,linkedbysimilaritiesoflanguagetotheTatars,Khitanand
Manchus to the east, and the Turkic tribes to the west. Some of the Mongols were pastoralists while
otherswerehunter-gatherers.The pastoraliststendedhorses,sheepand,toalesserextent,cattle, goats
andcamels.TheynomadisedinthesteppesofCentralAsiainatractoflandinthearea ofthemodern
stateofMongolia.Thiswas(andstillis)amajesticlandscapewithwidehorizons,rollingplains,ringed
bythesnow-cappedAltaimountainstothewest,thearidGobidesertinthesouthanddrainedbytheOnon
andSelengariversandmyriadspringsfromthemeltingsnowsofthehillsinthenorthandthewest.Lush,
luxuriantgrassesforpastureandconsiderablesmallgamewereavailableinagoodseason.Thehunter-
gatherersresidedtothenorthofthepastoralistsintheSiberianforests.
Ononriverplaininflood.
Theywereahumblerbodyofpeoplethanthepastoralists,makingalivingfromtradeinfursofanimals
trapped in the summer months. There were extremes of temperature in the entire region: harsh, long
winters followed by brief, dry summers. Agriculture was possiblein the pastoral regionsduring short
partsoftheyearbuttheMongols(unlikesomeoftheTurksfurtherwest)didnottaketofarming.Neither
the pastoral nor the hunting-gathering economies could sustain dense population settlements and as a
resulttheregionpossessednocities.TheMongolslivedintents,gers,andtravelledwiththeirherdsfrom
theirwintertosummerpasturelands.
EthnicandlanguagetiesunitedtheMongolpeoplebutthescarcereso7urcesmeantthattheirsocietywas
divided into patrilineal lineages; the richer families were larger, possessed more animals and pasture
lands. They therefore had many followers and weremore influential inlocal politics. Periodic natural
calamities – either unusually harsh, cold winters when game and stored provisions ran out or drought
which parched the grasslands – would force families to forage further afield leading to conflict over
pasturelandsandpredatoryraidsinsearchoflivestock.Groupsoffamilieswouldoccasionallyallyfor
offensive and defensive purposes around richer and more powerful lineages but, barring the few
exceptions, these confederacies were usually small and short-lived. The size of Genghis Khans
confederation ofMongol and Turkish tribes was perhaps matched in size only by that which had been
stitchedtogetherinthefifthcenturybyAttila(d.453).
UnlikeAttila,however,GenghisKhanspoliticalsystemwasfarmoredurableandsurviveditsfounder.It
wasstableenoughtocounterlargerarmieswithsuperiorequipmentinChina,IranandeasternEurope.
And, as they established control over these regions, the Mongols administered complex agrarian
economies and urban settlements – sedentary societies – that were quite distant from their own social
experienceandhabitat.
Listed below are some of the great Central Asian steppe confederacies of the Turks and Mongol
people. They did not all occupy the sameregion and were not equally large and complex in their
internalorganisation. Theyhadaconsiderableimpactonthe historyof thenomadicpopulationbut
theirimpactonChinaandtheadjoiningregionsvaried.
Hsiung-nu(200bce)(Turks)
Juan-juan(400ce)(Mongols)EpthaliteHuns(400ce)(Mongols)Tu-chueh(550ce)(Turks)
Uighurs(740ce)(Turks)
Khitan(940ce)(Mongols)
Although the social and political organisations of the nomadic and agrarian economies were very
different, thetwo societies werehardlyforeigntoeach other.In fact,thescantresources ofthesteppe
landsdroveMongolsandotherCentralAsiannomadstotradeandbarterwiththeirsedentaryneighbours
inChina.Thiswasmutuallybeneficialtobothparties:agriculturalproduceandironutensilsfromChina
wereexchangedforhorses,fursandgametrappedinthesteppe.Commercewasnotwithoutitstensions,
especiallyasthetwogroupsunhesitatinglyappliedmilitarypressuretoenhanceprofit.WhentheMongol
lineages allied they could force their Chinese neighbours to offer better terms and trade ties were
sometimesdiscardedinfavourofoutrightplunder.ThisrelationshipwouldalterwhentheMongolswere
indisarray.TheChinesewouldthenconfidentlyasserttheirinfluenceinthesteppe.Thesefrontierwars
weremoredebilitatingtosettledsocieties.Theydislocatedagricultureandplunderedcities.Nomads,on
theotherhand,couldretreatawayfromthezoneofconflictwithmarginallosses.Throughoutitshistory,
China suffered extensively from nomad intrusion and different regimes – even as early as the eighth
century bce – built fortifications to protect their subjects. Starting from the third century bce, these
fortificationsstartedtobeintegratedintoacommondefensiveoutworkknowntodayasthe‘GreatWallof
China’ a dramatic visual testament to the disturbance and fear perpetrated by nomadic raids on the
agrariansocietiesofnorthChina.
TheGreatWallofChina.
TheCareerofGenghisKhan
GenghisKhanwasbornsometimearound1162neartheOnonriverinthenorthofpresent-dayMongolia.
NamedTemujin,hewasthesonofYesugei,thechieftainoftheKiyat,agroupoffamiliesrelatedtothe
Borjigidclan. His fatherwasmurdered atan early age and his mother, Oelun-eke, raisedTemujin,his
brothersandstep-brothersingreathardship.Thefollowingdecadewasfullofreversals–Temujinwas
capturedandenslavedandsoonafterhismarriage,hiswife,Borte,waskidnapped,andhehadtofightto
recover her. During these years of hardship he also managed to make important friends. The young
Boghurchu was his first ally and remained a trusted friend; Jamuqa, his blood-brother (anda), was
another.TemujinalsorestoredoldallianceswiththeruleroftheKereyits,Tughril/OngKhan,hisfathers
oldblood-brother.
Through the 1180s and 1190s, Temujin remained an ally of Ong Khan and used the alliance to defeat
powerfuladversarieslikeJamuqa,hisoldfriendwhohadbecomeahostilefoe.Itwasafterdefeatinghim
that Temujin felt confident enough to move against other tribes: the powerful Tatars (his fathers
assassins),theKereyits and Ong Khanhimself in1203. The finaldefeat ofthe Naimanpeople and the
powerfulJamuqain1206,leftTemujinasthedominantpersonalityinthepoliticsofthesteppelands,a
positionthatwasrecognisedatanassemblyofMongolchieftains(quriltai)wherehewasproclaimedthe
‘Great Khan of the Mongols’ (Qa’an) with the title Genghis Khan, the ‘Oceanic Khan or ‘Universal
Ruler’.
Justbeforethequriltaiof1206,GenghisKhanhadreorganisedtheMongolpeopleintoamoreeffective,
disciplinedmilitaryforce(seefollowingsections)thatfacilitatedthesuccessofhisfuturecampaigns.The
firstofhisconcernswastoconquerChina,dividedatthistimeintothreerealms:theHsiHsiapeopleof
Tibetan origin in the north-western provinces; the Jurchen whose Chin dynasty ruled north China from
Peking;theSungdynastywhocontrolledsouthChina.By1209,theHsiHsiaweredefeated,theGreat
WallofChina’wasbreachedin1213andPekingsackedin1215.Long-drawn-outbattlesagainsttheChin
continueduntil1234butGenghisKhanwassatisfiedenoughwiththeprogressofhiscampaignstoreturn
tohisMongolianhomelandin1216andleavethemilitaryaffairsoftheregiontohissubordinates.
Afterthedefeatin1218oftheQaraKhitawhocontrolledtheTienShanmountainsnorth-westofChina,
Mongol dominions reached the Amu Darya, and the states of Transoxiana and Khwarazm. Sultan
Muhammad, the ruler of Khwarazm, felt the fury of Genghis Khans rage when he executed Mongol
envoys.Inthecampaignsbetween1219and 1221thegreatcities– Otrar, Bukhara, Samarqand,Balkh,
Gurganj, Merv, Nishapur and Herat – surrendered to the Mongol forces. Towns that resisted were
devastated. AtNishapur, where a Mongol prince waskilled during the siege operation, Genghis Khan
commandedthatthe‘townshouldbelaidwasteinsuchamannerthatthesitecouldbeploughedupon;and
thatintheexactionofvengeance[forthedeathoftheprince]notevencatsanddogsshouldbeleftalive’.
EstimatedExtentofMongolDestruction
AllreportsofGenghisKhanscampaignsagreeatthevastnumberofpeoplekilledfollowingthecaptureofcitiesthatdefiedhisauthority.
Thenumbersarestaggering:atthecaptureofNishapurin1220,1,747,000peopleweremassacredwhilethetollatHeratin1222was
1,600,000 peopleandat Baghdad in 1258, 800,000. Smallertownssuffered proportionately: Nasa, 70,000dead;Baihaq district,70,000;
andatTunintheKuhistanprovince,12,000individualswereexecuted.
Howdidmedievalchroniclersarriveatsuchfigures?
Juwaini,thePersianchronicler of theIlkhansstated that1,300,000people werekilled inMerv.Hereached the figurebecause ittook
thirteendaystocountthedeadandeachdaytheycounted100,000corpses.
Mongol forces in pursuit of Sultan Muhammad pushed into Azerbaijan, defeated Russian forces at the
Crimea and encircled the Caspian Sea. Another wing followed the Sultans son, Jalaluddin, into
Afghanistan and the Sindh province. At the banks of the Indus, Genghis Khan considered returning to
MongoliathroughNorthIndiaandAssam,buttheheat,thenaturalhabitatandtheillportentsreportedby
hisShamansoothsayermadehimchangehismind.
GenghisKhandiedin1227,havingspentmostofhislifeinmilitarycombat.Hismilitaryachievements
wereastoundingandtheywerelargelyaresultofhisabilitytoinnovateandtransformdifferentaspectsof
steppecombatintoextremelyeffectivemilitarystrategies.Thehorse-ridingskillsoftheMongolsandthe
Turksprovidedspeedandmobilitytothearmy;theirabilitiesasrapi7d-shootingarchersfromhorseback
werefurtherperfectedduringregularhuntingexpeditionswhichdoubledasfieldmanoeuvres.Thesteppe
cavalryhadalwaystravelledlightandmovedquickly,butnowitbroughtallitsknowledgeoftheterrain
andtheweathertodotheunimaginable:theycarriedoutcampaignsinthedepthsofwinter,treatingfrozen
rivers ashighwaystoenemy citiesandcamps.Nomads wereconventionally at alossagainst fortified
encampments but Genghis Khan learnt the importance of siege engines and naphtha bombardment very
quickly. His engineers prepared lightportable equipment, which was used against opponents with
devastatingeffect.
Opp.page:‘Barbarians’asimaginedbyaEuropeanartist.
TheMongolsafterGenghisKhan
We can divide Mongol expansion after Genghis Khans death into two distinct phases: the first which
spannedtheyears1236-42whenthemajorgainswereintheRussiansteppes,Bulghar,Kiev,Polandand
Hungary.Thesecondphaseincludingtheyears1255-1300ledtotheconquestofallofChina(1279),Iran,
IraqandSyria.Thefrontieroftheempirestabilisedafterthesecampaign.
TheMongolmilitaryforcesmetwithfewreversalsinthedecadesafter1203but,quitenoticeably,after
the 1260s the original impetus of campaignscould not be sustained in the West. Although Vienna, and
beyonditwesternEurope,aswellasEgyptwaswithinthegraspofMongolforces,theirretreatfromthe
HungariansteppesanddefeatatthehandsoftheEgyptianforcessignalledtheemergenceofnewpolitical
trends.Thereweretwofacetstothis:thefirstwasaconsequenceoftheinternalpoliticsofsuccession
withintheMongolfamilywherethedescendantsofJochiandOgodeialliedtocontroltheofficeofthe
greatKhaninthefirsttwogenerations.Theseinterestsweremoreimportantthanthepursuitofcampaigns
inEurope.ThesecondcompulsionoccurredastheJochiandOgodeilineagesweremarginalisedbythe
Toluyidbranchof Genghis Khanid descendants.With theaccession of Mongke, a descendant of Toluy,
Genghis Khans youngestson, military campaigns were pursued energetically in Iranduring the1250s.
ButasToluyidinterestsintheconquestofChinaincreasedduringthe1260s,forcesandsupplieswere
increasingly diverted into the heartlands of the Mongol dominion. As a result, the Mongols fielded a
small,understaffedforceagainsttheEgyptianmilitary.Theirdefeatandtheincreasingpreoccupationwith
ChinaoftheToluyidfamilymarkedtheendofwesternexpansionoftheMongols.Concurrently,conflict
betweentheJochidandToluyiddescendantsalongtheRussian-IranianfrontierdivertedtheJochidsaway
fromfurtherEuropeancampaigns.
The suspension of Mongol expansion in the West did not arrest their campaigns in China which was
reunited under the Mongols. Paradoxically, it was at the moment of its greatest successes that internal
turbulencebetweenmembersoftherulingfamilymanifesteditself.Thenextsectiondiscussesthefactors
thatledtosomeofthegreatestsuccessesoftheMongolpoliticalenterprisebutalsoinhibiteditsprogress.
Social,PoliticalandMilitaryOrganisation
AmongtheMongols,andmanyothernomadicsocietiesaswell,alltheable-bodied,adultmalesofthe
tribeborearms:theyconstitutedthe armedforces whentheoccasiondemanded. Theunification of the
differentMongoltribesandsubsequentcampaignsagainstdiversepeopleintroducednewmembersinto
GenghisKhansarmycomplicatingthecompositionofthisrelativelysmall,undifferentiatedbodyintoan
incrediblyheterogeneousmassofpeople.ItincludedgroupsliketheTurkicUighurs,whohadaccepted
hisauthoritywillingly.Italsoincludeddefeatedpeople,liketheKereyits,whowereaccommodatedinthe
confederacydespitetheirearlierhostility.
GenghisKhanworkedtosystematicallyerasetheoldtribalidentitiesofthedifferentgroupswhojoined
hisconfederacy.Hisarmywasorganisedaccordingtotheoldsteppesystemofdecimalunits:indivisions
of10s,100s,1,000sand[notionally]10,000soldiers.Intheoldsystemtheclanandthetribewouldhave
coexisted within the decimal units. Genghis Khan stopped this practice. He divided the old tribal
groupingsanddistributedtheirmembersintonewmilitaryunits.Anyindividualwhotriedtomovefrom
his/her allotted group without permission received harsh punishment. The largest unit of soldiers,
approximating 10,000 soldiers (tuman) now included fragmented groups of people from a variety of
differenttribesandclans.Thisalteredtheoldsteppesocialorderintegratingdifferentlineagesandclans
andprovidingthemwithanewidentityderivedfromitsprogenitor,GenghisKhan.
Thenewmilitarycontingentswererequiredtoserveunderhisfoursonsandspeciallychosencaptainsof
his army units callednoyan. Also important within the new realm were a band of followers who had
served Genghis Khan loyallythrough graveadversity formany years. Genghis Khan publicly honoured
some of these individuals as his blood-brothers (anda); yet others, freemen of a humbler rank, were
given special ranking as his bondsmen (naukar), a title that marked their close relationship with their
master.Thisrankingdidnotpreservetherightsoftheoldclanchieftains;thenewaristocracyderivedits
statusfromacloserelationshipwiththeGreatKhanoftheMongols.
Inthisnewhierarchy,GenghisKhanassignedtheresponsibilityofgoverningthenewlyconqueredpeople
to his four sons. These comprised the four ulus, a term that did not originally mean fixed territories.
Genghis Khans lifetime was still the age of rapid conquests and expanding domains, where frontiers
werestillextremelyfluid.Forexample,theeldestson,Jochi,receivedtheRussiansteppesbutthefarthest
extent of his territory,ulus, was indeterminate: it extended as far west as his horses could roam. The
second son, Chaghatai, was given the Transoxianian steppe and lands north of the Pamir mountains
adjacenttothoseofhisbrother.Presumably,theselandswouldshiftasJochimarchedwestward.Genghis
Khanhadindicatedthathisthirdson,Ogodei,wouldsucceedhimastheGreatKhanandonaccessionthe
Prince established his capital at Karakorum. The youngest son, Toluy, received the ancestral lands of
Mongolia.GenghisKhanenvisagedthathissonswouldruletheempirecollectively,andtounderlinethis
point, military contingents (tama) of the individual princes were placed in each ulus. The sense of a
dominion shared by the members of the family was underlined at the assembly of chieftains, quriltais,
wherealldecisionsrelatingtothefamilyorthestatefortheforthcomingseason–campaigns,distribution
ofplunder,pasturelandsandsuccession–werecollectivelytaken.
GenghisKhanhadalreadyfashionedarapidcouriersystemthatconnectedthedistantareasofhisregime.
Fresh mounts and despatch riders were placed in outposts at regularly spaced distances. For the
maintenanceofthiscommunicationsystemtheMongolnomadscontributedatenthoftheirherd–either
horsesorlivestock–asprovisions.Thiswascalledthequbcurtax,alevythatthenomadspaidwillingly
for the multiple benefits that it brought. The courier system (yam) was further refined after Genghis
Khan’sdeathanditsspeedandreliabilitysurprisedtravellers.ItenabledtheGreatKhanstokeepacheck
ondevelopmentsatthefarthestendoftheirregimeacrossthecontinentallandmass.
Theconqueredpeople,however,hardlyfeltasenseofaffinitywiththeirnewnomadicmasters.During
the campaigns in the first half of the thirteenth century, cities were destroyed, agricultural lands laid
waste,tradeandhandicraftproductiondisrupted.Tensofthousandsofpeople–theexactfiguresarelost
intheexaggeratedreportsofthetime–werekilled,evenmoreenslaved.Allclassesofpeople,fromthe
elitestothepeasantrysuffered.Intheresultinginstability,theundergroundcanals,calledqanats,inthe
aridIranianplateaucouldnolongerreceiveperiodicmaintenance.Astheyfellintodisrepair,thedesert
creptin.ThisledtoanecologicaldevastationfromwhichpartsofKhurasanneverrecovered.
FamilytreeofGenghisKhan.
Oncethedustfromthecampaignshadsettled,EuropeandChinawereterritoriallylinked.Inthepeace
usheredinbyMongolconquest(PaxMongolica)tradeconnectionsmatured.Commerceandtravelalong
theSilkRoutereacheditspeakundertheMongolsbut,unlikebefore,thetraderoutesdidnotterminatein
China.
TheycontinuednorthintoMongoliaandtoKarakorum,theheartofthenewempire.Communicationand
easeoftravelwasvitaltoretainthecoherenceoftheMongolregimeandtravellersweregivenapass
(paizainPersian;geregeinMongolian)forsafeconduct.Traderspaidthebajtaxforthesamepurpose,
allacknowledgingtherebytheauthorityoftheMongolKhan.
Map2:TheMongolCampaigns
The contradictions between the nomadic and sedentary elements wit7hin the Mongol empire eased
through the thirteenth century. In the 1230s, for example, as the Mongols waged their successful war
againsttheChindynastyinnorthChina,therewasastrongpressuregroupwithintheMongolleadership
thatadvocatedthemassacreofallpeasantryandtheconversionoftheirfieldsintopasturelands.Butby
the 1270s, when south China was annexed to the Mongol empire after the defeat of the Sung dynasty,
Genghis Khans grandson, Qubilai Khan (d. 1294), appeared as the protector of the peasants and the
cities.In the 1290s,theMongolrulerof Iran,Ghazan Khan(d.1304),adescendantofGenghisKhans
youngestsonToluy,warnedfamilymembersandothergeneralstoavoidpillagingthepeasantry.Itdidnot
leadtoastableprosperousrealm,headvisedinaspeechwhosesedentaryovertoneswouldhavemade
GenghisKhanshudder.
Activity2
NotetheareastraversedbytheSilkRouteandthegoodsthatwereavailabletotraders
alongtheway.Thismapdoesnotreflectoneoftheeasternterminalpointsofthesilk
routeduringtheheightofMongolpower.
Canyouplacethemissingcity?CouldithavebeenontheSilkRouteinthetwelfth
century?Whynot?
GhazanKhan’sSpeech
GhazanKhan(1295-1304)wasthefirstIl-KhanidrulertoconverttoIslam.HegavethefollowingspeechtotheMongol-Turkishnomad
commanders,aspeechthatwasprobablydraftedbyhisPersianwazirRashiduddinandincludedintheministersletters:
‘IamnotonthesideofthePersianpeasantry.Ifthereisapurposeinpillagingthemall,thereisnoonewithmorepowertodothisthanI.
Letusrobthemtogether.Butifyouwishtobecertainofcollectinggrainandfoodforyourtablesinthefuture,Imustbeharshwithyou.
Youmustbetaughtreason.Ifyouinsultthepeasantry,taketheiroxenandseedandtrampletheircropsintotheground,whatwillyoudo
inthefuture?…Theobedientpeasantrymustbedistinguishedfromthepeasantrywhoarerebels…’
From Genghis Khans reign itself, the Mongols had recruited civil administrators from the conquered
societies. They were sometimes moved around: Chinese secretaries deployed in Iran and Persians in
China.Theyhelpedinintegratingthedistantdominionsandtheirbackgroundsandtrainingwerealways
usefulinblunting the harsheredges ofnomadic predationonsedentary life. TheMongolKhans trusted
themaslongastheycontinuedtoraiserevenuefortheirmastersandtheseadministratorscouldsometimes
command considerable influence. In the 1230s, the Chinese minister Yeh-lu Chu-ts’ai, muted some of
Ogedeismorerapaciousinstincts;theJuwainifamilyplayedasimilarroleinIranthroughthelatterhalf
of the thirteenth century and at the end of the century, the wazir, Rashiduddin, drafted the speech that
GhazanKhandeliveredtohisMongolcompatriotsaskingthemtoprotect,notharass,thepeasantry.
Activity3
Why was there a conflict of interests between pastoralists and peasants? Would
Genghis Khan have expressed sentiments of this nature in a speech to his nomad
commanders?
The pressure to sedentarise was greater in the new areas of Mongol domicile, areas distant from the
original steppe habitat of the nomads. By the middle of the thirteenth century the sense of a common
patrimony shared by all the brothers was gradually replaced by individual dynasties each ruling their
separateulus,atermwhichnowcarriedthesenseofaterritorialdominion.Thiswas,inpart,aresultof
succession struggles, where Genghis Khanid descendants competed for the office of Great Khan and
prizedpastorallands.DescendantsofToluyhadcometorulebothChinaandIranwheretheyhadformed
theYuanandIl-Khaniddynasties.DescendantsofJochiformedtheGoldenHordeandruledtheRussian
steppes; Chaghatais successorsruled the steppes of Transoxiana and the landscalled Turkistan today.
Noticeably, nomadic traditions persisted longest amongst the steppe dwellers in Central Asia
(descendantsofChaghatai)andRussia(theGoldenHorde).
ThegradualseparationofthedescendantsofGenghisKhanintoseparatelineagegroupsimpliedthattheir
connectionswiththememory
and traditions of a past family concordance also altered. At an obvious level this was the result of
competition amongst the cousin clans and here the Toluyid branch was more adept in presenting their
versionofthefamilydisagreementsinthehistoriesproducedundertheirpatronage.Toalargeextentthis
was a consequence of their control of China and Iran and the large number of literati that its family
members could recruit. At a more sophisticated level, the disengagement with the past also meant
underlining the merits of the regnant rulers as a contrast to other past monarchs. This exercise in
comparisondidnotexcludeGenghisKhanhimself.PersianchroniclesproducedinIl-KhanidIranduring
thelatethirteenthcenturydetailedthegorykillingsoftheGreatKhanandgreatlyexaggeratedthenumbers
killed.Forexample,incontrasttoaneyewitnessreportthat400soldiersdefendedthecitadelofBukhara,
anIl-Khanidchroniclereportedthat30,000soldierswerekilledintheattackonthecitadel.AlthoughIl-
KhanidreportsstilleulogisedGenghisKhan,theyalsocarriedastatementofreliefthattimeshadchanged
and the great killings of the past were over. The Genghis Khanid legacy was important, but for his
descendantstoappearasconvincingheroestoasedentaryaudience,theycouldnolongerappearinquite
thesamewayastheirancestor.
FollowingtheresearchofDavidAyalon,recentworkontheyasa,thecodeoflawthatGenghisKhanwas
supposedtohavepromulgatedatthequriltaiof1206,haselaboratedonthecomplexwaysinwhichthe
memory of the Great Khan was fashioned by his successors. In its earliest formulation the term was
writtenasyasaqwhichmeant‘law,‘decree’ororder’.Indeed,thefewd7etailsthatwepossessabout
theyasaqconcernadministrativeregulations:theorganisationofthehunt,thearmyandthepostalsystem.
Bythemiddleofthethirteenthcentury,however,theMongolshadstartedusingtherelatedtermyasaina
moregeneralsensetomeanthe‘legalcodeofGenghisKhan.
Wemaybeabletounderstandthechangesinthemeaningofthetermifwetakealookatsomeoftheother
developments that occurred at the same time. By the middle of the thirteenth century the Mongols had
emergedasaunifiedpeopleandjustcreatedthelargestempiretheworldhadeverseen.Theyruledover
very sophisticated urban societies, with their respective histories, cultures and laws. Although the
Mongols dominated the region politically, theywerea numericalminority. The one way in which they
couldprotecttheiridentityanddistinctivenesswasthroughaclaimtoasacredlawgiventothembytheir
ancestor.TheyasawasinallprobabilityacompilationofthecustomarytraditionsoftheMongoltribes
butinreferringtoitasGenghisKhanscodeoflaw,theMongolpeoplealsolaidclaimtoalawgiver
likeMosesandSolomon,whoseauthoritativecodecouldbeimposedontheirsubjects.Theyasaserved
tocoheretheMongolpeoplearoundabodyofsharedbeliefs,itacknowledgedtheiraffinitytoGenghis
Khanandhisdescendantsand,evenastheyabsorbeddifferentaspectsofasedentarylifestyle,gavethem
theconfidencetoretaintheirethnicidentityandimposetheir‘lawupontheirdefeatedsubjects.Itwasan
extremelyempoweringideologyandalthoughGenghisKhanmaynothaveplannedsuchalegalcode,it
wascertainlyinspiredbyhisvisionandwasvitalintheconstructionofaMongoluniversaldominion.
Yasa
In 1221, after the conquest of Bukhara, Genghis Khan had assembled the rich Muslim residents at the festival ground and had
admonishedthem.Hecalledthemsinnersandwarnedthemtocompensatefortheirsinsbypartingwiththeirhiddenwealth.Theepisode
was dramatic enough to be painted andfor alongtime afterwardspeople still rememberedtheincident. Inthelatesixteenth century,
‘AbdullahKhan,adistantdescendantofJochi,GenghisKhanseldestson,wenttothesamefestivalgroundinBukhara.UnlikeGenghis
Khan,however,‘AbdullahKhanwenttoperformhisholidayprayersthere.Hischronicler,Hafiz-iTanish,reportedthisperformanceof
Muslimpietybyhismasterandincludedthesurprisingcomment:‘thiswasaccordingtotheyasaofGenghisKhan’.
Activity4
DidthemeaningofyasaalteroverthefourcenturiesseparatingGenghisKhanfrom
AbdullahKhan?WhydidHafiz-iTanishmakeareferencetoGenghisKhansyasain
connectionwithAbdullahKhansprayerattheMuslimfestivalground?
Conclusion:SituatingGenghisKhanandtheMongolsinWorldHistory
WhenwerememberGenghisKhantodaytheonlyimagesthatappearinourimaginationarethoseofthe
conqueror,thedestroyerofcities,andanindividualwhowasresponsibleforthedeathofthousandsof
people.Manythirteenth-centuryresidentsoftownsinChina,IranandeasternEuropelookedatthehordes
fromthesteppeswithfearanddistaste.Andyet,fortheMongols,GenghisKhanwasthegreatestleaderof
alltime:heunitedtheMongolpeople,freedthemfrominterminabletribalwarsandChineseexploitation,
broughtthemprosperity,fashionedagrandtranscontinentalempireandrestoredtraderoutesandmarkets
thatattracteddistanttravellers liketheVenetianMarcoPolo.T7hecontrasting imagesarenot simplya
caseofdissimilarperspectives;theyshouldmakeuspauseandreflectonhowone(dominant)perspective
cancompletelyeraseallothers.
Beyondtheopinionsofthedefeatedsedentarypeople,considerforamomentthesheersizeoftheMongol
dominioninthethirteenthcenturyandthediversebodyofpeopleandfaithsthatitembraced.Althoughthe
Mongol Khans themselves belonged to a variety of different faiths – Shaman, Buddhist, Christian and
eventuallyIslam–theyneverlettheirpersonalbeliefsdictatepublicpolicy.TheMongolrulersrecruited
administratorsandarmedcontingentsfrompeopleofallethnicgroupsandreligions.Theirswasamulti-
ethnic,multilingual,multi-religiousregimethatdidnotfeelthreatenedbyitspluralisticconstitution.This
was utterly unusual forthe time, and historians are only now studying the ways in which the Mongols
providedideologicalmodelsforlaterregimes(liketheMughalsofIndia)tofollow.
The nature of the documentation on the Mongols – and any nomadic regime – makes it virtually
impossibletounderstandtheinspiration
that led to the confederation offragmented groups of peoplein the pursuit of an ambition tocreate an
empire.TheMongolempireeventuallyalteredinitsdifferentmilieus,buttheinspirationofitsfounder
remainedapowerfulforce.Attheendofthefourteenthcentury,Timur,anothermonarchwhoaspiredto
universaldominion,hesitatedtodeclarehimselfmonarchbecausehewasnotofGenghisKhaniddescent.
When he did declare his independent sovereignty it was as the son-in-law (guregen) of the Genghis
Khanidfamily.
Today,afterdecadesofSovietcontrol,thecountryofMongoliaisrecreatingitsidentityasanindependent
nation. It hasseized uponGenghisKhan as agreatnationalherowhoispubliclyveneratedandwhose
achievementsarerecountedwithpride.AtacrucialjunctureinthehistoryofMongolia,GenghisKhanhas
onceagainappearedasaniconicfigurefortheMongolpeople,mobilisingmemoriesofagreatpast
intheforgingofnationalidentitythatcancarrythenationintothefuture.
TheCaptureofBaghdadbytheMongols,aminiaturepaintingintheChroniclesofRashidal-Din,Tabriz,fourteenthcentury.
QubilaiKhanandChabiincamp.
Exercises
Answerinbrief
1.WhywastradesosignificanttotheMongols?
2. Why did Genghis Khan feel the need to fragment the Mongol tribes into new social and military
groupings?
3. How do later Mongol reflections on the yasa bring out the uneasy relationship they had with the
memoryofGenghisKhan.
4.‘Ifhistoryreliesuponwrittenrecordsproducedbycity-basedliterati,nomadicsocietieswillalways
receivea hostilerepresentation.’Wouldyou agree withthisstatement? Doesit explainthe reason why
PersianchroniclesproducedsuchinflatedfiguresofcasualtiesresultingfromMongolcampaigns?
Answerinashortessay
5.KeepingthenomadicelementoftheMongolandBedouinsocietiesinmind,how,inyouropinion,did
their respective historical experiences differ? What explanations would you suggest account for these
differences?
6. How does the following account enlarge upon the character of the Pax Mongolica created by the
Mongolsbythemiddleofthethirteenthcentury?
TheFranciscanmonk,WilliamofRubruck,wassentbyLouisIXofFranceonanembassytothegreat
KhanMongke’scourt.HereachedKarakorum,thecapitalofMongke,in1254andcameuponawoman
fromLorraine(inFrance)calledPaquette,whohadbeenbroughtfromHungaryandwasintheservice
ofoneoftheprince’s wiveswho wasaNestorianChristian. Atthecourthecameacrossa Parisian
goldsmithnamedGuillaumeBoucher,‘whosebrotherdweltontheGrandPontinParis’.Thismanwas
firstemployedbytheQueenSorghaqtaniandthenbyMongke’syoungerbrother.Rubruckfoundthatat
the great court festivals the Nestorian priests were admitted first, with their regalia, to bless the
GrandKhan’scup,andwerefollowedbytheMuslimclergyandBuddhistandTaoistmonks…